Compliance Senior Manager
Share
Job Location:
Austin, TX - USA
Monthly Salary:
Not Disclosed
Posted on:
4 hours ago
Vacancies:
1 Vacancy
Job Summary
Qualifications :
Your Mission:
Own the regulatory relationships. You will be the primary contact for CIRO provincial securities commissions and FINTRAC managing member application process subsequent examinations inquiries and communications.
Lead the compliance framework. You will develop manage and evolve the firms compliance and AML/CTF policies to ensure adherence to all CIRO rules and Canadian regulations.
Advise Product Engineering and relevant 1LoD teams regarding compliant business practices
Deliver annual compliance meetings
Directly supervise all investment dealer activities and ensure adherence to market conduct rules.
Be the subject matter expert. You will provide clear pragmatic and actionable guidance to business leadership and staff on all compliance-related matters.
Manage all compliance reporting. You will oversee the preparation and submission of all required regulatory reports and filings in a timely and accurate manner.
This role is for you if:
You have 5 years of experience in a senior compliance leadership role at a CIRO-regulated Investment Dealer.
You possess expert-level knowledge of CIRO Investment Dealer rules National Instruments and Canadas anti-money laundering legislation (PCMLTFA).
You are a strong communicator and leader capable of engaging confidently with regulators senior management and all members of the firm.
You have a hands-on proactive approach to problem-solving and are comfortable operating in both strategic and tactical capacities.
You hold the required PDO and CCO industry qualifications for registration as a CCO and Supervisor:
Nice To Have: IDSC (or an equivalent supervisors course). Obtain within 2-3 months.
Travel Requirements: Requires travel up to 20% of the time
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.
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
Key Skills
- Compliance Management
- Risk Management
- Financial Services
- PCI
- Banking
- Cost Accounting Standards
- Quality Systems
- Research Experience
- NIST Standards
- Securities Law
- SOX
- ISO 27000
About Company
Wise is a global technology company, building the best way to move money around the world. With the Wise account people and businesses can hold 40+ currencies, move money between countries and spend money abroad. Large companies and banks use Wise technology too; an entirely new cro ... View more
