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Join to apply for the Head of Compliance in Canada role at Capital.com 3 days ago Be among the first 25 applicants Join to apply for the Head of Compliance in Canada role at Capital.com Get AI-powered advice on this job and more exclusive features. We are a leading trading platform that is ambitiously expanding to the four corners of the globe. Our top-rated products have won prestigious industry awards for their cutting-edge technology and seamless client experience. We deliver only the best, so we are always in search of the best people to join our ever-growing talented team. The function of Head of Compliance will lead the way in the maintenance, development and oversight of compliance practices and procedures in meeting financial services, anti-money laundering, conduct expectations and all other regulatory requirements. Responsibilities: Manage a team of professionals in the compliance department (if applicable) Design, review and revise compliance policies, procedures, and controls to meet applicable legislation, regulatory requirements and best practice standards Conduct the business monitoring, general compliance monitoring, training and regulatory reporting as required Promoting, demonstrating and embedding a strong compliance culture Liaise, report and establish a smooth relationship to the relevant regulatory authorities bodies. Conduct due diligence checks and ongoing AML reviews for existing clients and business partners Act as key person for the oversight of all AML/CFT and sanctions matters, including implementation of effective and sustainable controls Oversee systems and controls to Identify and mitigate potential areas of AML compliance vulnerability and risks/gaps and develop/implement pragmatic corrective action plans Prepare reports for senior management, auditors and external regulatory bodies as appropriate Keep up to date with all relevant regulatory changes as well as evolving best practices, carrying out gap and business impact analysis Provide ongoing and ad-hoc support on compliance queries (both from internal and external stakeholders).Review marketing materials to ensure compliance with regulatory and scheme requirements Assist with the identification, evaluation, monitoring and mitigation of operational risks; and proactively suggest improvements Requirements: A university diploma along with the relevant experience - 5 years working for an investment dealer or registered advisor, with at least three years in a compliance or supervisory capacity, or 3 years providing professional services in the securities industry, with at least 12 months experience working at an investment dealer or registered advisor in a compliance or supervisory capacity Educational requirements: successful completion of (i) Chief Compliance Officers Qualifying Examination, and (ii) Partners, Directors and Senior Officers Course (Qualifying Examination) Be comfortable in a fast-paced environment, where non-routine and/or complex issues are common Be able to handle complex issues, projects, and processes Demonstrate strong moral and ethical principles A willingness to learn, accept accountability, demonstrate initiative and support effective co-operation A strong working knowledge of CIRO and local provinces financial services regulations and requirements Strong sense of integrity and responsibility What you will get in return: Competitive Salary: We believe great work deserves great pay! Your skills and talents will be rewarded with a salary that makes you feel valued and motivated Work-Life Harmony: Join a company that genuinely cares about you - because your life outside of work matters just as much as your time on the clock Annual Performance Bonus: Your hard work doesnt go unnoticed! Celebrate your achievements with a well-deserved annual bonus tied to your performance Generous Time Off: Need a breather? Our annual leave policy lets you recharge and enjoy life outside of work without a worry Employee Referral Program: Love working here? Share the love! Bring your talented friends on board and get rewarded for growing our awesome team Comprehensive Health & Pension Benefits: From medical insurance to pension plans, weve got your back. Plus, location-specific benefits and perks! Workation Wonderland: Live your digital nomad dreams with 30 extra days to work remotely from anywhere in the world (some restrictions apply). Adventure awaits! Volunteer Days: Make a difference! Take two additional paid days each year to support causes you care about and give back to the community Be a key player at the forefront of the digital assets movement, propelling your career to new heights! Join a dynamic and rapidly expanding company that values and rewards talent, initiative, and creativity. Work alongside one of the most brilliant teams in the industry. Seniority level Seniority level Not Applicable Employment type Employment type Full-time Job function Job function Legal Referrals increase your chances of interviewing at Capital.com by 2x Get notified about new Head of Compliance jobs in Ontario, Canada . Head, Corporate Communications, Canadian Personal & Business Banking Director, Compliance Advisory Consumer Protection Director, Canadian Wealth Distribution Compliance Vice President and Director, Lead of Equity Client Portfolio Management Director, International Wealth Management Compliance (Spanish Speaking) Wealth Management Compliance Director (Hybrid) Greater Toronto Area, Canada CA$70,500.00-CA$95,500.00 4 days ago Global Head of (m/f/x) Statistics for Oncology HEOR/HTA Were unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI. #J-18808-Ljbffr