Senior Compliance Officer

Job Responsibility:

Enoch Wealth, established in 2015, is a registered Exempt Market Dealer (EMD) with the BC and Ontario Securities Commissions. Serving thousands of high-net-worth clients in Canada, we are recognized as one of the top EMDs in the country. Our dedicated advisory team of over 60 professionals operates on a robust platform equipped with industry-leading processes, compliance procedures, technology, and research teams.

We are currently seeking a Senior Compliance Officer to join our team and ensure the overall success of our compliance efforts. The ideal candidate will provide comprehensive compliance support and advice, ensuring that all activities are conducted in strict adherence to governing regulations, internal policies, and procedures.

As a Great Place to Work® and Better Business Bureau accredited organization, we offer a dynamic and motivating work environment. We invite enthusiastic individuals to join us in this pivotal role as a Senior Compliance Officer.

Responsibilities

• Champion a customer-focused culture to deepen client relationships and leverage broader systems and knowledge.
• Advise on compliance matters for wealth management and investment services, both written and oral.
• Support the Chief Compliance Officer and Board Members in managing regulatory risks by developing, monitoring, and updating compliance operations.
• Conduct investigations into potential violations of regulations, policies, and procedures, ensuring effective remediation, and assist with regulatory filings and responses.
• Oversee compliance with regulatory requirements, including CIRO Rules, and follow up on identified issues and potential violations promptly.
• Provide training and guidance to staff on compliance matters, assess the impact and risks of new regulations, and create a compliance and supervision schedule.
• Prepare and present materials on product due diligence, policies, procedures, and conflicts of interest for management review, and monitor and escalate exceptions and violations.
• Ensure timely regulatory reporting and compliance with privacy, advertising, social media, cyber-security, and other relevant regulations.
• Review and approve promotional and marketing materials, serve as the primary contact with regulatory bodies, and maintain current actions on compliance responsibilities while engaging in professional development.
• Pursue efficient operations in line with Enoch Wealth's values, code of conduct, and compliance obligations regarding AML/ATF/sanctions and conduct risk.
• Champion a high-performance environment and contribute to an inclusive work environment.

Qualifications

• Bachelor's degree and/or a minimum of 2-3 years relevant experience in the financial industry, preferably within a regulatory compliance, audit, or risk function.
• CRM or CFA designated candidates preferred
• Extensive knowledge of the securities regulatory environment and ethical standards.
• Strong understanding of wealth management activities, products, and services.
• Ability to assess complex compliance issues, exercise sound judgment, and defend decisions.
• Proficient in identifying areas of regulatory, reputational, and conduct risk, and escalating issues appropriately.
• Effective verbal and written communication skills with the ability to influence business and control functions personnel.
• Proficiency in Mandarin is a strong asset and preferred.

Job Types: Full-time, Permanent

Pay: From $80,000.00 per year

Benefits:

• Company events
• Dental care
• Extended health care
• On-site gym
• Tuition reimbursement
• Vision care

Flexible Language Requirement:

• French not required

Schedule:

• Monday to Friday

Work Location: In person