Lead Senior Compliance Associate

About the Role

This exciting role offers the opportunity to lead critical compliance functions for our Canadian operations, ensuring robust regulatory practices and enabling innovation within the dynamic crypto industry.

Responsibilities

• Support the CIRO Investment Dealer application and buildout of applicable controls.
• Identify, assess, and manage regulatory risks, including drafting and implementing effective risk management policies and procedures.
• Ensure adherence to Canadian requirements, including KYC, KYP, client suitability, and disclosure standards.
• Maintain and update the Canadian Compliance Manual, AML Program, and internal SOPs to align with evolving regulatory obligations.
• Support all AML ATF and sanctions related operational processes/activities (e.g., EDD reviews, escalations, and reporting).
• Support regulatory reporting obligations (monthly, quarterly data reporting, financial reporting through CSA portals).
• Work closely with technology and senior management to define detailed business requirements for systems initiatives.
• Review sales and marketing materials for regulatory alignment.
• Manage registration activities for both the firm and individual representatives.
• Collaborate with global teams on programs such as client onboarding, due diligence (CDD/EDD), sanctions screening, trade surveillance, transaction monitoring, investigations, suspicious transaction reporting (STR), AML, privacy, fraud cases, complaint handling, and law enforcement inquiries.
• Monitor emerging regulations and recommend updates to policies and products, partnering with Product and Engineering to embed compliance controls.
• Act as a subject matter expert (SME) supporting cross-functional teams on compliant product development and client solutions.

Requirements

• 5+ years of experience in compliance roles within financial services or digital asset management.
• Deep knowledge of Canadian securities laws and regulatory frameworks (e.g., CIRO, CSA, PCMLTFA, and FINTRAC guidelines).
• Strong communication and stakeholder management skills.
• Ability to work collaboratively in a global, fast-paced, and dynamic environment.

Nice-to-Haves

• Direct experience in crypto asset trading platforms (CTPs), fintech, or capital markets regulation.
• Ability to act as deputy CAMLO in the CCO’s absences.
• Completion of the CSI Partners, Directors and Senior Officers Qualification Examination ("PDO") and Chief Compliance Officer Qualifying Examination ("CCO"), and Canadian Securities Course (“CSC”).