Chief Compliance Officer
Our cryptocurrency client provides financial products with a mission to help customers across the globe unlock the power of digital assets to build wealth for the long term through transparent, and secure financial service products.
Our client has seen extreme growth since 2018 and is one of Canada’s leading digital asset companies, led by a team with decades of experience in traditional financial services and banking.
The lucky candidate will provide comprehensive oversight and maintain ownership of the company’s compliance program. You will develop, implement and further refine internal compliance procedures, infrastructure, and controls, including those related to investment dealing, AML program, and fraud prevention.
You will draft and implement a training program regarding the company’s compliance
functions to new employees and company-wide on an ongoing basis. You’ll get to work directly with other team leaders and project managers to further enhance the KYC program, drive processes around privacy compliance, and construct a framework that promotes efficient and effective compliance operations.
This opportunity is for a builder, innovator, and subject matter expert in the compliance space that is motivated to develop, enhance and lead, and contribute to a fast-growing team.
About the Role
- You will be at the forefront of developing crypto financial services, work in a fast paced environment, and develop compliance standards.
- Develop risk management processes, where you’ll review, identify and evaluate compliance risks, establish additional internal controls to mitigate risks, refine and oversee risk monitoring and testing programs, and implement the client’s incident response plan.
- Oversee regulatory reporting that is compliant with applicable Canadian/US federal regulations such SARs and CTRs, and ensure all regulatory filings, reports, and documentation are completed with accuracy and expediency.
- You will serve as the primary point of contact for regulatory exams, independent third-party audits, and other inquiries of a similar nature
- You’ll use critical thinking skills to quickly identify control issues, evaluate risk, and draw the appropriate conclusions including remediation actions.
- Build and train a global team of AML compliance professionals on the implementation of the compliance program and fraud prevention measures
- You will get broad geographic exposure to the Americas and assist in the client’s geographical expansion.
- Streamline all the compliance program components and supervise and monitor the regulatory compliance activities
- Conduct periodic compliance testing, risk assessments, assess findings and address both the strengths and deficiencies with key stakeholders
- Ensure that Senior Management and Board Committees receive timely and complete information about the adequacy and effectiveness of the compliance programs
What You Bring To The Job
- 5 + years experience directly leading and building a securities registrant and AML compliance program.
- Passed the PDO Exam, offered by CSI and IFSE, or the Chief Compliance Officers Qualifying Exam offered by CSI and 12 months relevant securities industry experience within the previous 36 months.
- CAMS Certification required.
- Canadian financial services experience, specifically working in the securities function of a bank or security dealers firm.
- Working knowledge of BSA and AML compliance regulations and requirements in the United States
- Demonstrated experience leading and scaling alongside an innovative business and able to manage the risk associated with FINTECH / cryptocurrency product offerings
Nice To Have
- Professional certifications (e.g. CFA, CFCS, FIS, CFE, CCEP, CCFC, CRC, CBP and CCI) are a plus.
- You thrive in a start-up and entrepreneurial environment and understand how to navigate this environment while prioritizing compliance
- You’re excited about cryptocurrency and understand the fundamentals about blockchain technology.
A Taste of What Our Client Provides
- As one of Canada’s leading digital asset companies our client provides tremendous growth
- Team-based organizational structures that reinforce problem solving, decision making, and teamwork.
- Competency based compensation structures and comprehensive benefit package that starts on your first day
Please note, due to the high volume of applications, only those applicants that qualify will be
It’s COVID, where are you working?
Our client will be working remotely until Fall 2021. After that, if and when it’s safe to do so, they will be offering flexible working environments of remote and in-office, which is located downtown Toronto