Chief Compliance Officer, Toronto
Chief Compliance Officer - OANDA (Canada) Corporation ULC
This is a key role encompassing a broad range of responsibilities. You will implement, maintain and be responsible for the compliance strategy and framework for OANDA’s Canadian operations.
- Complete ownership and oversight of all aspects of regulatory compliance at OANDA (Canada) Corporation, including effective use of a thorough, robust monitoring program
- Liaising with IIROC and other regulators and managing regulatory inquiries, filings, audits and registration requirements
- Effective communication with the regulator
- Keeping abreast of new or proposed rules and regulations that may impact the company and submit comments on draft rules/legislation
- Regular reporting to the Global Head of Compliance and board of directors on all compliance matters, including findings of monitoring program, compliance status and compliance risk issues
- Effective development, implementation, maintenance and supervision of policies and procedures, including the Anti-Money Laundering and Know-Your Customer program
- Providing support and training to business units and functional groups (including product management, marketing, sales, customer service, finance) with respect to regulatory matters
- Resolution and reporting of customer complaints and interface with OBSI as required
- Monitoring employee outside business activities and personal trading accounts
- Other duties as required.
- 5+ years experience and knowledge of the Canadian securities industry
- University degree required (LLB/JD, business degree or financial designation (CA, CMA, CGA) an asset)
- Successful completion of the CSI Partners, Directors and Senior Officers Course and Chief Compliance Officers Qualifying Exam within 90 days of hire
- Experience with IIROC, FINTRAC and provincial securities commissions
- Must be execution orientated and be able to manage multiple projects and hit deadlines
- Excellent attention to detail and judgement
- Ability to evaluate issues from a regulatory perspective with a practical, business-orientated, common sense approach to complex problem solving
- Effectively balance risk and opportunity, thinking creatively to enable the business to make appropriate decisions
- Experience with over-the-counter leveraged derivative instruments
- Familiarity with the National Registration Database and other digital systems
- Familiarity with PIPEDA and security best practices
- Familiarity with anti-money laundering, privacy, and digital security best practice
Internal: All departments.
External: All relevant Canadian authorities and regulators
- Based in Toronto
- Standard working hours
OANDA Global Corporation is a diverse and global team with offices around the world. We value the unique skills and experiences each individual brings to OANDA. We are committed to creating and sustaining a collegial work environment in which all individuals are treated with dignity and respect and one which reflects the diversity of the community in which we operate. We provide an inclusive and accessible environment for everyone. Candidates selected for an interview will be contacted directly. If you require accommodation during the recruitment and selection process, please let us know. We will work with you to provide as seamless a recruitment experience as possible.