FNZ Canada, located in Toronto, is a wealth management platform provider of technology platforms and back-office processing operational services to Canadian based financial institutions and their customers.
The Senior Compliance Officer will provide support for business activities conducted by FNZ Canada ensuring that internal platform and operational teams are proactively understanding regulatory requirements so that the Canadian business is compliant with applicable regulations.
This role will report to the Chief Compliance Officer (CCO) of FNZ North America and will have exposure to and interactions with executive stakeholders within the organization, with our clients’ leadership teams and with regulators on the overall compliance environment, reporting on the effectiveness of the compliance program and identification of emerging risks and regulatory change management. In addition, this individual will provide leadership, guidance and consultation with multiple teams within the business and technology units, fostering an environment of excellence and continuous learning.
Role Responsibilities
Establish and manage the compliance management program partnering with the business to identify and evaluate risks and adherence to regulatory expectations and requirements.
Support the development, enhancement and governance of the compliance management program within the business unit.
Stay apprised of industry best practices and regulatory expectations.
Partner with key areas to implement any changes to laws, rules, and regulations and provide advisory support.
Participate in internal control reviews and provide guidance on governance and controls.
Collaborate with business to ensure timely remediation of compliance related issues when identified by regulators, internal audit, and other stakeholders. · Partner with the business and our customers to ensure that platforms are end-to-end compliant
Support regulatory approvals/non-objections of FNZ platforms for our customers (e.g. CIRO)
Support successful on-boarding of new customers to the FNZ platform
Experience required
Significant previous experience in a compliance role with prior service with a regulator as a plus.
Must possess broad knowledge of all areas of Canadian compliance, including financial operations and reporting, trading and business compliance
Excellent written skills and ability to communicate effectively.
Ability to analyze, present and report information in a clear and concise manner. Ability to build and maintain effective internal and external relationships. · Ability to handle complex issues and escalate as needed acting with a sense of urgency.
Ability to multi-task and prioritize work appropriately.
Working knowledge of regulatory and compliance risk methodology and standards.
Computer proficient and working knowledge of desktop software applications (e.g., Word, Excel, and PowerPoint etc.)
Professional or industry qualification.
What FNZ offers:
A competitive base salary, bonus, and paid time off.
FNZ will match pension plan contributions at 150%, up to 4% total Employee Contribution.
Employer-paid medical, dental and vision insurance, and more.
We are mission-led - work at the heart of a purpose-led organization where you can be proud of the impact you make, every day. Where you’ll transform the way over 20 million people invest, making wealth management more accessible, sustainable and transparent to more people.
Learning & development – Placing emphasis on a willingness to learn, to think differently, to be creative and to help drive innovation.
Be part of a highly successful, rapidly growing, Pre-IPO global business that is leading the delivery of financial services via cloud computing and partners with some of the world’s largest companies;
We provide global career opportunities for our best employees at any of our offices in the US, Canada, UK, Czech Republic, Asia, Australia or New Zealand
About FNZ Culture
Our culture is what drives us. It's at the heart of who we are and everything we do. It's what inspires, excites, and moves us forward.
Our ambition is to create a culture for growth, one that opens up limitless opportunities for our employees, customers, and the wider world.
At FNZ we know that great impact is only possible with great teamwork.
That’s why we value the strength and diversity of thought in our global team.
The FNZ Way is the cornerstone of what we do. It comprises four values that set the standard for how everyone at FNZ interacts with each other, with our customers, and with all our diverse stakeholders worldwide.
Customer obsessed for the long-term
Think big and make an impact
Act now and own it all the way
Challenge, commit and win together.
About FNZ
FNZ is committed to opening up wealth so that everyone, everywhere can invest in their future on their terms. We know the foundation to do that already exists in the wealth management industry, but complexity holds firms back.
We created wealth’s growth platform to help. We provide a global, end-to-end wealth management platform that integrates modern technology with business and investment operations. All in a regulated financial institution.
We partner with over 650 financial institutions and 12,000 wealth managers, with US$1.5 trillion in assets under administration (AUA).
Together with our customers, we help over 20 million people from all wealth segments to invest in their future.