SENIOR COMPLIANCE MANAGER

We’re hiring a Senior Compliance Manager for MogoTrade, a subsidiary of Mogo who will have a key role in developing and implementing compliance policies and procedures related to all aspects of a CIRO brokerage. Reporting directly to the Chief Compliance Officer, the Senior Compliance Manager will work closely with the MogoTrade team and other teams as necessary.
Base Salary: CAD $90,000 - $110,000

ABOUT US:

We help make it easy for Canadians to achieve financial freedom while making a positive impact.
We live in the most innovative and technologically advanced era, yet so much struggle exists. Most of us are far from where we want to be financially.
We all want a better future. A better world where reaching financial freedom is a question of when, not if. One that’s equitable so that all can prosper. One that’s safe from the impact of climate change.
Our money has the power to change the world. It’s up to us to do things differently.
Apply today! Do you know anyone who would be a great fit for this role or other roles on our career page? Please share this job posting with them! Mogo is an inclusive place to spend your work life. We hire team members for their talent and diverse backgrounds. Bring your unique perspective to Mogo and help our customers achieve their best financial lives.
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• Manage the development and maintenance of compliance policies and procedures including internal controls, training, independent testing, and recordkeeping requirements
• Be the subject matter expert and provide advice to MogoTrade team on related compliance matters and emerging regulations
• Assess new and emerging regulations and make recommendations to improve our practices
• Create and maintain a compliance and supervision schedule and ensure required activities are completed
• In depth knowledge of TCC review and UMIR Policies.
• Prepare and present materials to key stakeholders relating to product due diligence, policies and procedures, and conflicts of interest
• Monitor and escalate any compliance related matters
• Assist the Chief Compliance Officer in responding to any compliance related inquiries
• Ensure all regulatory reporting and gatekeeper reports are filed on a timely basis
• Ensure compliance with applicable privacy, advertising, social media, cyber-security, and other relevant legislation, regulations, and policies
• Review and approve all necessary marketing materials
• Be the subject matter expert in AML