Compliance Program Manager

About the Regulatory (Reg) Team We're on the lookout for a super motivated and experienced Senior Manager, Compliance Program Management to join our growing Regulatory (Reg) team. You'll report directly to our Director, Securities & Enterprise Compliance Programs and be a key player in shaping our compliance future. This role is all about leading and overseeing the firm's enterprise-wide compliance operations and program management. You'll be crucial in helping us innovate in the retail trading space, making sure our cutting-edge financial solutions are not only groundbreaking but also fully compliant with all relevant regulations.
Our Reg team brings together a unique blend of legal, compliance, and risk experts. We're proud of how we creatively tackle tough regulatory challenges, our resourcefulness in navigating legal changes, our ability to adapt to market shifts, and our unwavering commitment to high integrity and ethics. Joining us means becoming part of an agile and forward-thinking group dedicated to both protecting our operations and enabling smart growth.
About the Senior Manager, Compliance Program Management Role
The Senior Manager, Compliance Program Management will direct the development, implementation, and maintenance of key compliance frameworks including policies, procedures, manuals, and training programs. You'll manage specialized compliance teams handling marketing compliance, account supervision, and complaints handling and ensure consistent application of compliance standards across the organization through effective program governance. You will build strong collaborative relationships with Product, Trading, Operations, Engineering and Finance teams to ensure compliant implementation of business initiatives.

Oversee the maintenance and regular updates of the firm's Compliance Manuals, policies, and procedures to align with regulatory changes and business evolution
Lead the firm's conflicts of interest management framework, including identification, documentation, and mitigation strategies
Develop and implement comprehensive compliance training programs for staff across all business lines
Establish compliance program metrics, reporting structures, and quality assurance processes
Design and execute compliance risk assessments across the organization
Identify risks and opportunities in the evolving regulatory environment
Build productive relationships with CIRO and other regulatory bodies to influence policy decisions
8+ years of experience in compliance or regulatory roles within CIRO regulated financial institutions

• Demonstrated experience managing enterprise compliance programs and leading high-performing, innovative compliance teams
• Experience developing compliance policies, procedures, and training materials
• Demonstrated ability to manage complex compliance operations and improvement initiatives