Job Description
Senior Compliance Manager – Regulatory Engagement
Role Overview
We are seeking a Senior Compliance Manager – Regulatory Engagement with strong expertise in CIRO rules, securities regulation, and technology‑driven change initiatives.
The successful candidate will play a key leadership role in a major platform modernization initiative, including preparing regulatory submissions, coordinating with regulators, and ensuring compliance with all applicable requirements, and would also assist the CCO with other tasks and strategic initiatives requiring engagement with regulators.
Responsibilities
Regulatory Engagement & Approvals
- Prepare, coordinate, and assist finalizing required regulatory submissions and applications for approval and/or exemptive relief. Exceptional written and verbal communications skills are required.
- Document current‑state and future‑state operating models, identifying required compliance impac...