Compliance Senior Manager, Canada

Responsiblities

• Proactively lead compliance efforts, aligning to Canada’s Securities regulations stipulated in the National Instrument, in addition to ensuring compliance with our Restricted Dealer and Marketplace registration and accompanying exemptive relief decision.
• Proactively leading efforts to prepare Crypto.com Canada for CIRO membership, including updating compliance policies and procedures in light of CIRO’s requirements.
• Provide ongoing updates to Crypto.com Canada’s Senior Management regarding the overall compliance program.
• Ensure appropriate escalation of compliance incidents or material issues to the CCO and UDP.
• Manage development and execution of relevant compliance training.
• Ensure policies and procedures meet/exceed regulatory requirements and are being executed in accordance with policy.
• Collaborate with internal and external stakeholders, including Product and Finance to ensure compliance requirements continue to be met.
• Advise stakeholders on product development to further strengthen obligations to our registration.
• Oversee complaints and marketing materials for regulatory alignment.
• Lead registration management for both the firm and individual representatives.
• Support CCO with all regulatory exams, meetings, and engagements  (e.g., OSC, CIRO, OFSI, and FINTRAC).

Requirements

• 8+ years of experience with various National Instruments which apply to Crypto Trading PlatformsExperience with CIRO (formerly known as IIROC) monthly/quarterly requirements and best practices. 
• Resident in Canada.
• In-depth knowledge of regulatory, risk, governance and infrastructure challenges with regards to digital assets, securities, custody and onboarding of digital asset FIs and CTPs.
• Strong communicator and internal relationship builder, collaborating cross functionally.
• Able to challenge and influence stakeholders to ensure decisions are well thought out and can be executed from an operations perspective.
• Comfortable with change, ambiguity, conflict, and dealing with numerous stakeholders.
• Drive results through leadership, people, communication and influence.
• Experience having worked with product and tech teams on tool implementations.
• Highly organized, and process / people orientated.
• Hold registration as an Approved Person under CIRO (fka IIROC) or be willing to become one.
• Register as a Dealing Representative  with the Ontario Securities Commission or be willing to obtain and become registered accordingly.