Compliance OfficerApply For This Position" />
Nest Wealth is currently seeking an experienced, highly talented, and driven Compliance Officer to join our diverse team. As a Compliance Officer at Nest Wealth, you’ll own, maintain, and continuously lead day-to-day compliance activities. If you thrive in a growing, fast paced environment and have a real passion for ensuring a culture of compliance is fostered, Nest Wealth could be the place for you.
This is a rare opportunity to join a successful, well-funded startup and shape an industry leading digital paid marketing strategy. You’ll not only have a huge impact on the next phase of Nest Wealth’s growth, but on the FinTech industry as a whole. We’ve accomplished a lot in the four short years since our founding and the sky’s the limit on what we’ll do next. You’ll be able to proudly say, “I helped build that!”
At Nest Wealth you’ll get to:
- Monitor and assess compliance of the business, its registered individuals, and employees.
- Provide oversight and review of all regulated activities within the business.
- Work closely with the Sales team to ensure all referral arrangements are up to date, compliant, and documented.
- Partner with other departments to ensure they clearly understand their role in compliance, and that their compliance activities are carried out effectively.
- Recommend and implement policies, procedures, and action plans to address any gaps in our compliance program.
- Partner with the applicable regulators, both provincially and nationally.
- Be responsible for Business Conduct Compliance, Cyber Security, BCP and Risk Planning, and implementation, our Code of Ethics, and supporting our internal controls and operations.
- Provide compliance training/education to all Nest Wealth staff, where required by legislation and/or regulation.
- Establish, maintain, and revise acceptable policies and procedures within the business for regulatory review and approval.
- Manage, identify, assess, and make recommendations with respect to internal control deficiencies.
- Handle regulatory approvals of any new products/services offered by Nest Wealth.
- Maintain knowledge of new and developing compliance rules and proactively analyze the impact of these rules.
- Prepare reporting for year-end audits, regulatory audits, internal audits, and our board when needed.
- Oversee the annual registration process.
- You have extensive experience in a similar compliance or legal role coupled with comprehensive knowledge and understanding of the Canadian Securities industry as well as OSC industry compliance and regulations requirements.
- You are highly influential and are able to deal with conflicting points of view to effect creative and responsive solutions.
- You are able to build and maintain positive relationships with internal and external stakeholders.
- You have never met a question you weren’t willing to find the answer to.
- You are hyper organized and handle changing priorities like a pro.
- You are flawless in your prioritizing and attention to detail.
- You have superior interpretation skills and have the ability to operate at both strategic and operational levels.
- You have exceptional communication skills.
- You take initiative and own your work. We move quickly around here, and although we’re a close-knit team, you’ll thrive if you’re self-motivated and able to prioritize a variety of responsibilities on your own.
In addition to joining a fantastic team, we offer:
- A yearly educational budget for your own professional goals (workshops, courses, conferences, classes, and more). No matter what stage you’re at in your career, there’s always room to level up.
- Flexible hours. Our employees have the latitude to take care of the other parts of their lives and be there for the things that matter to them.
- Weekly catered team lunches, a fully stocked fridge, and healthy snacks and fruits for everyone to enjoy.
- Company events and other fun team outings.
- Full health benefits that are 100% paid by Nest Wealth.
- An employee stock option plan. We believe work means more when you have ownership in what we’re building.
- An environment where you can have a HUGE impact.
Sound like a good fit? We’d love to hear from you!