✨ The Role in One Sentence

Alpaca is seeking a Chief Compliance Officer to lead compliance efforts for a new CIRO Dealer Member and establish the operational and compliance framework.

📋 What You'll Likely Do

• 30%: Lead compliance efforts for the firm’s CIRO Investment Dealer application.

• 30%: Manage regulatory compliance, including communications with CIRO, OSC, and FINTRAC.

• 40%: Develop policies and procedures to ensure business supervision and compliance training.

🧑‍💻 Profiles Doing This Job

• High Priority: Minimum 5+ years of compliance experience, including senior leadership roles.

• High Priority: Knowledge of Canadian Securities Regulation and Financial Crime Regulation.

• High Priority: Experience managing regulatory applications with CIRO, OSC, and FINTRAC.

📈 How This Role Will Look on Your CV

• Led compliance for a new CIRO Dealer Member, establishing operational and compliance frameworks.