Compliance Senior Manager - Canada Assets

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We are seeking a seasoned and strategic Compliance Senior Manager to lead our firm's compliance and risk management functions. As a key member of the executive leadership team, the CCO will be responsible for the architecture, implementation, and ongoing management of a robust compliance framework that ensures adherence to all applicable Canadian securities laws, regulations, and CIRO Rules.

This role requires an individual with unimpeachable integrity, deep regulatory knowledge, and the executive presence to act as the primary compliance advisor to the Board of Directors and senior management. The CCO will also serve as the firm's designated Chief Anti-Money Laundering Officer (CAMLO), championing a culture of compliance and ethical conduct throughout the organization.

Key Responsibilities:

Regulatory Compliance Framework:

• Architect, implement, and continuously enhance the firm’s compliance policies, procedures, and internal controls to ensure they are consistent with CIRO Rules, National Instruments, Universal Market Integrity Rules (UMIR), and provincial securities legislation.

• Proactively monitor the regulatory landscape for proposed changes from CIRO, the Canadian Securities Administrators (CSA), FINTRAC, and other relevant bodies. Conduct impact analyses and lead the implementation of necessary changes to business processes and policies.

• Oversee the maintenance of the firm’s Policy and Procedure Manuals, ensuring they are current, accessible, and well-communicated to all relevant personnel.

Anti-Money Laundering (AML) & Counter-Terrorist Financing (CTF) Program (as CAMLO):

• Assume full responsibility for the firm’s AML/CTF compliance program, including the development and maintenance of the AML Policy and Risk Assessment methodology.

• Oversee the investigation and disposition of alerts related to potential suspicious activity, and ensure the timely and accurate filing of Suspicious Transaction Reports (STRs), Large Cash Transaction Reports (LCTRs), and other required reports to FINTRAC.

• Manage the firm's client screening processes for sanctions, politically exposed persons (PEPs), and adverse media.

• Conduct and document the mandatory biennial AML program effectiveness review.

Compliance Program Management & Oversight:

• Design and execute a comprehensive, risk-based compliance monitoring and testing plan to assess the effectiveness of the firm's controls and procedures.

• Prepare and present the annual Chief Compliance Officer's Report to the Board of Directors, detailing the state of the firm’s compliance program, identifying key risks, and outlining strategic initiatives.

• Manage the resolution and tracking of any compliance issues identified through testing, internal audits, or regulatory examinations, ensuring timely and effective remediation.

Registrations & Proficiency:

• Serve as the firm’s Ultimate Designated Person (UDP) contact for registration matters.

• Oversee all firm and individual registration applications, amendments, and terminations on the National Registration Database (NRD).

• Ensure all Registered Individuals meet and maintain their proficiency requirements, including the management and tracking of Continuing Education (CE) credits in accordance with CIRO requirements.

Strategic Advisory & Business Partnership:

• Act as the primary compliance subject matter expert, providing pragmatic, solutions-oriented advice to the Board, CEO, and business line leaders on regulatory matters.

• Participate in the review and approval process for new products, services, and business initiatives to ensure compliance risks are identified and properly addressed from the outset.

• Interpret complex regulatory rules and provide clear, actionable guidance on their application to the firm's day-to-day operations.

Trading & Market Conduct Surveillance:

• Oversee the daily surveillance of trading activities across all asset classes (e.g., equities, fixed income, derivatives) to ensure compliance with UMIR and other market conduct rules.

• Manage the review and resolution of surveillance alerts related to potential manipulative or deceptive trading practices.

• Ensure adherence to all pre- and post-trade control requirements, including gatekeeper obligations.

Regulatory & SRO Liaison:

• Act as the principal point of contact for all interactions with regulators, including CIRO, provincial securities commissions, and FINTRAC.

• Manage all aspects of regulatory examinations, inquiries, and investigations, from initial request through to the resolution of findings.

• Foster professional and transparent relationships with regulatory staff.

Compliance Training & Education:

• Develop, implement, and track a comprehensive, firm-wide compliance training program covering topics such as the code of conduct, AML/CTF, privacy, cybersecurity, and conflicts of interest.

• Deliver tailored training sessions for new hires, registered staff, and senior management to reinforce their understanding of their regulatory obligations.

Reporting & Risk Management:

• Oversee the preparation and timely submission of all required regulatory filings, including financial reports (e.g., Monthly Financial Reports), risk reports, and compliance certifications.

• Collaborate with the Chief Risk Officer and other senior leaders to identify, assess, prioritize, and mitigate compliance risks across the firm.

• Integrate compliance risk considerations into the firm’s overall enterprise risk management framework.

Qualifications and Experience:

• Education: A Bachelor's degree in Business, Finance, Law, or a related field is required. An MBA or Juris Doctor (JD) would be a strong asset.

• Certifications & Registrations:

  • Successful completion and current registration (or immediate eligibility for registration) as a Chief Compliance Officer with CIRO.

  • Required Courses: Canadian Securities Course (CSC), Conduct and Practices Handbook Course (CPH), Partners, Directors, and Senior Officers Exam (PDO), Chief Compliance Officers Qualifying Exam (CCO), and a relevant Supervisor/Branch Manager course.

  • Certified Anti-Money Laundering Specialist (CAMS) designation is highly desirable.

• Experience:

  • A minimum of 10 years of progressive compliance experience within a Canadian investment dealer (CIRO/IIROC member firm).

  • At least 5 years in a senior leadership role (e.g., CCO, Deputy CCO, Director of Compliance).

  • Demonstrated, hands-on experience managing regulatory examinations and developing comprehensive compliance programs from the ground up.

  • Proven track record as a designated Chief Anti-Money Laundering Officer (CAMLO) or Deputy CAMLO.

• Knowledge & Skills:

  • Expert-level knowledge of the Canadian securities regulatory environment, including CIRO Rules, UMIR, National Instruments (e.g., NI 31-103), and PCMLTFA regulations.

  • Advanced proficiency with the National Registration Database (NRD) and experience with trade surveillance systems (e.g., SMARTS, etc.).

  • Exceptional leadership and communication skills, with the ability to influence and build consensus at all levels of the organization, including at the Board level.

  • Strong analytical, problem-solving, and project management skills with a meticulous attention to detail.

For everyone, everywhere. We're people building money without borders  — without judgement or prejudice, too. We believe teams are strongest when they are diverse, equitable and inclusive.

We're proud to have a truly international team, and we celebrate our differences.
Inclusive teams help us live our values and make sure every Wiser feels respected, empowered to contribute towards our mission and able to progress in their careers.

If you want to find out more about what it's like to work at Wise visit Wise.Jobs.

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