Mogo Finance Technology Inc.
Senior Compliance Manager
Job Summary
The Senior Compliance Manager at MogoTrade is responsible for developing, maintaining, and implementing compliance policies and procedures related to the securities industry. The role involves advising the team on regulatory matters, assessing emerging regulations, and ensuring adherence to relevant legislation such as UMIR and TCC policies. The ideal candidate will have a strong background in compliance within a CIRO-regulated environment, excellent communication skills, and the ability to handle multiple priorities. Benefits include remote work, health coverage, stock options, and wellness programs.
Required Skills
Benefits
Job Description
Senior Compliance Manager
We’re hiring a Senior Compliance Manager for MogoTrade, a subsidiary of Mogo who will have a key role in developing and implementing compliance policies and procedures related to all aspects of a CIRO brokerage. Reporting directly to the Chief Compliance Officer, the Senior Compliance Manager will work closely with the MogoTrade team and other teams as necessary.
Base Salary: CAD $90,000 - $110,000
What You'll Do:
- 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
- In depth knowledge of TCC review and UMIR Policies.
- 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
What You'll Need:
- University Degree in Finance, Economics, or a related discipline
- Qualification to be registered as an CIRO supervisor
- Minimum 3 years in a compliance role with an CIRO regulated dealer, preferably one in the OEO business
- In-depth understanding of the Canadian securities industry including relevant legislation, rules, and policies
- Ability to build and maintain strong relationships and effective partnerships with internal and external stakeholders
- Capable of handling multiple high-priority tasks and meeting strict deadlines
- Exceptional communication skills, both verbal and written
- Bilingual (French and English)
- Ability to work well autonomously
Benefits of working with us:
- ALWAYS FULLY REMOTE WORK - Enjoy the flexibility of remote work, supported by necessary resources #LI-Remote
- Comprehensive Health and Wellness - Access medical, dental, and vision coverage plus a Health Spending Account
- Stock Options - Have a stake in the company's success through stock options
- Flex Vacation - Benefit from paid time off, including vacation days, holidays, and personal days
- Wellbeing Programs - Access counselling services, mental health support, and additional wellness resources
About Us:
We help make it easy for Canadians to achieve financial freedom while making a positive impact.
We live in the most innovative and technologically advanced era, yet so much struggle exists. Most of us are far from where we want to be financially.
We all want a better future. A better world where reaching financial freedom is a question of when, not if. One that's equitable so that all can prosper. One that's safe from the impact of climate change.
Our money has the power to change the world. It’s up to us to do things differently.
Apply today! Do you know anyone who would be a great fit for this role or other roles on ourcareer page? Please share this job posting with them!Mogo is an inclusive place to spend your work life. We hire team members for their talent and diverse backgrounds. Bring your unique perspective to Mogo and help our customers achieve their best financial lives.
Mogo Finance Technology Inc.
A wealth platform designed to help avoid the behaviours that lead to underperformance while encouraging those proven to drive outperformance. Mogo x Moka was built on the principles of Warren Buffett, widely considered the greatest investor of all time.
See more jobsSafe Remote Job Search Tips
Verify Employer Thoroughly
Research the company's identity thoroughly before applying. Check for a professional website with contacts, active social media, and LinkedIn profiles. Verify details across platforms and look for reviews on Glassdoor or Trustpilot to confirm legitimacy.
Never Pay to Get a Job
Legitimate employers never require payment for applications, training, background checks, or equipment. Always reject upfront payment requests or demands for bank details, even if they claim it's for purchasing necessary work gear on your behalf.
Safeguard Your Personal Information
Protect sensitive data like SSN, bank details, or ID copies. Share this only after accepting a formal, written job offer. Ensure it's submitted via a secure company system or portal, never through insecure channels like standard email attachments.
Scrutinize Communication & Interviews
Watch for communication red flags: poor grammar, generic emails (@gmail), vague details, or undue pressure. Be highly suspicious of interviews held only via text or chat apps; legitimate companies typically use video or phone calls.
Beware of Unrealistic Offers
If an offer's salary or benefits seem unrealistically high for the work involved, be cautious. Research standard pay for similar roles. Offers that appear 'too good to be true' are often scams designed to lure you into providing information or payment.
Insist on a Formal Contract
Always secure and review a formal, written job offer or employment contract before starting work or sharing final personal details. Ensure it clearly defines your role, compensation, key terms, and conditions to avoid misunderstandings or scams.