Chief Compliance Officer - Remote

Overview

Alpaca is seeking an experienced Chief Compliance Officer (CCO) to establish compliance frameworks for a new CIRO Dealer Member, ensuring adherence to regulatory requirements.

In Short

• Lead compliance efforts for CIRO Investment Dealer application.
• Manage daily compliance activities and regulatory inquiries.
• Identify and monitor regulatory requirements.
• Engage with regulators like CIRO, OSC, and FINTRAC.
• Create and maintain compliance policies and procedures.
• Oversee compliance training for employees.
• Provide updates to senior management on compliance activities.
• Partner with leadership to build a high-performing compliance team.
• Collaborate on new initiatives and regulatory obligations.

Requirements

• 5+ years of compliance experience in senior roles.
• Completion of relevant compliance examinations.
• Bachelor’s degree in finance, business, or law preferred.
• Knowledge of Canadian Securities Regulation.
• Experience with regulatory applications and audits.
• Strong communication skills for stakeholder engagement.
• Ability to navigate complex regulatory environments.
• High ethical standards and confidentiality commitment.

Benefits

• Competitive Salary & Stock Options.
• Health benefits starting on day 1.
• New Hire Home-Office Setup: One-time USD $500.
• Monthly Stipend: USD $150 per month.
• Collaborative work environment with diverse teams.