Job Description

We\xe2\x80\x99re hiring a Compliance Manager who will have a key role in developing and implementing compliance policies and procedures related to all aspects of an IIROC brokerage. Reporting directly to the Chief Compliance Officer, the Compliance Manager will work closely with the MogoTrade team and other teams as necessary.

What you\xe2\x80\x99ll do:

• Reporting directly to the Chief Compliance Officer, 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 the rest of the 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 the required activity is 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

What you\xe2\x80\x99ll need:

• University Degree in Finance, Economics, or a related discipline
• Qualification to be registered as an IIROC supervisor
• Minimum 3 years in a compliance role with an IIROC regulated dealer, preferably one in the OEO business
• In-depth understanding of the Canadian securities industry including relevant legislation, rules, and policies
• Ability to build and maintain strong relationships and effective partnerships with internal and external stakeholders
• Capable of handling multiple high-priority tasks and meeting strict deadlines
• Exceptional communication skills, both verbal and written
• Bilingual (French and English)

About Us

At Mogo, we leverage technology and design to push boundaries and transform the future of financial services. In a world dominated by big banks, archaic financial processes, and hidden fees, making money easy and engaging for Canadians is more important than ever. Get access to monthly credit score monitoring, ID fraud protection, personal loans, and mortgages - all at your fingertips. Mogo\xe2\x80\x99s new MogoTrade app offers commission-free stock trading that helps users make a positive impact with every investment. Together with Moka, Mogo\xe2\x80\x99s wholly-owned subsidiary bringing automated, fully-managed flat-fee investing to Canadians, these two products form the heart of Mogo\xe2\x80\x99s digital wealth platform. Mogo\xe2\x80\x99s wholly-owned subsidiary, Carta Worldwide, also offers a digital payments platform that powers the next-generation card programs from innovative fintech companies in Europe, North America and APAC.

Apply today! 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.

Powered by JazzHR

Mogo