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Chief Compliance Officer - Portfolio Manager

Mogo (TSX: MOGO) — a Vancouver-based financial technology company— is focused on building the leading digital financial platform in Canada and empowering consumers with simple solutions to help them improve their financial health. Built mobile first, users can sign up for a free MogoAccount in only three minutes and get access to 6 products including free credit score monitoring, identity fraud protection, the Mogo Platinum Prepaid Visa® Card, mortgages, personal loans and the MogoCrypto account which enables the buying and selling of bitcoin. The platform is engineered to deliver multiple financial products at scale through one account and enable the rapid launch of new features and products. With more than 700,000 members and growing, Mogo continues to execute on its vision of becoming the go-to financial app for the next generation of Canadians. To learn more, please visit mogo.ca or download the mobile app (iOS or Android).

Based in Vancouver, BC, the Chief Compliance Officer ("CCO") is responsible for developing and implementing compliance policies and procedures and providing education related to the new MogoWealth range of investment products.
 
Responsibilities

  • Manage the development and maintenance of MogoWealth compliance policies and procedures including internal controls, training, independent testing, and recordkeeping requirements;
  • Provide training and advice to the rest of the Mogo team on related compliance matters and emerging regulations;
  • Assess new and emerging regulations and make recommendations to the business;
  • Create and maintain a compliance and supervision schedule and ensure the required activity is completed;
  • Prepare and present materials relating to product due diligence, policies and procedures, and conflicts of interest, for review and deliberation by the management team;
  • Monitor and escalate all exceptions and violations;
  • Help implement Ultimate Designated Person and Board direction in response to any escalations;
  • 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 MogoWealth marketing materials

 
Skills and Experience

  • University Degree in Finance, Economics or a related discipline
  • Industry experience and educational qualifications necessary for registration with securities commissions in the role of CCO for Portfolio Manager (“PM”) licensed company
  • Minimum 3 years in a senior compliance role with a BCSC regulated PM company, preferably in the role of registered CCO
  • 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
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