Compliance Senior Manager Canada Assets

We are seeking a seasoned and strategic Compliance Senior Manager to lead our firms 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 firms 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 firms 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 firms 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 firms 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 firms 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 firms controls and procedures.

• Prepare and present the annual Chief Compliance Officers Report to the Board of Directors detailing the state of the firms 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 firms 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 firms 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 firms overall enterprise risk management framework.

Qualifications and Experience:

• Education: A Bachelors 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.

Additional Information :

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

Were 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 its like to work at Wise visit .

Keep up to date with life at Wise by following us on LinkedIn and Instagram.

Remote Work :

No

Employment Type :

Full-time