Objectway
Objectway
Objectway — банктерге, әл-ауқатты басқару компанияларына, активтерді басқарушыларға және басқа да қаржы институттарына қызмет көрсететін FinTech бағдарламалық жасақтама және қызметтер компаниясы. Оның бұлттық мүмкіндіктері бар платформасы цифрлық әл-ауқатты басқару шешімдері, портфельдік талдау, тәуекел мен нәтижелілік құралдары және операциялық автоматтандыру арқылы әл-ауқатты басқару, инвестицияларды басқару және банк операцияларын қолдайды. 30 жылдан астам салалық тәжірибесіне сүйене отырып, Objectway бірнеше елде жұмыс істейтін жеке және бөлшек банктерге, инвестициялық басқарушыларға, сондай-ақ өмірді сақтандыру және зейнетақы қызметтерін ұсынушыларға арналған ауқымды әрі құрамдастырылатын технологияларды әзірлейді.

Chief Compliance Officer – Toronto (Hybrid)

Lead regulatory compliance, AML controls, and governance for Nest Wealth, a Canadian robo-adviser. Advise senior leadership and the Board while supporting compliant fintech growth.

Сипаттама

  • Build and oversee the firm's compliance program in line with NI 31-103, provincial securities laws, and CSA guidance
  • Act as the firm's registered Chief Compliance Officer under NI 31-103
  • Develop and maintain compliance policies, procedures, and supervisory controls
  • Assess compliance effectiveness, perform testing, identify gaps, and manage remediation
  • Advise senior leaders on regulatory requirements and emerging developments
  • Manage regulatory filings and required compliance reporting
  • Assist with securities commission reviews and regulatory examinations
  • Serve as the main compliance liaison with securities regulators
  • Prepare compliance updates and reports for senior management and the Board
  • Conduct compliance risk assessments and track corrective measures
  • Oversee KYC, KYP, suitability, conflicts of interest, complaints, disclosures, recordkeeping, marketing approvals, personal trading, and outsourcing controls
  • Support PCMLTFA obligations, including client identification, monitoring, sanctions screening, and suspicious transaction reporting
  • Create and deliver compliance training while reinforcing ethical standards
  • Work with the UDP on compliance governance and report developments to executive leadership and the Board
  • Give independent compliance guidance on new products, strategic initiatives, and business changes

Талаптар

  • Meet the qualifications required for approval as a Chief Compliance Officer under NI 31-103
  • Bring substantial compliance experience from the Canadian securities industry
  • Demonstrate strong knowledge of National Instrument 31-103
  • Demonstrate strong knowledge of provincial securities legislation
  • Demonstrate strong knowledge of CSA Staff Notices and related guidance
  • Demonstrate strong knowledge of the Client Focused Reforms
  • Demonstrate strong knowledge of compliance programs and supervisory frameworks
  • Have experience engaging with Canadian securities regulators
  • Understand governance, enterprise risk management, and internal control frameworks
  • Bring excellent leadership, communication, and stakeholder management abilities
  • Show exceptional integrity, professionalism, and judgment
  • Experience with Microsoft Office 365, SharePoint, and Salesforce is preferred

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