Compliance

• 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
• 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

Senior Compliance Manager

Vice President of Compliance

Senior Manager, Global Regulatory Affairs – CMC

Manager, Global Regulatory Affairs – CMC

Bilingual Compliance Officer – Centralized Branch