Senior Compliance Analyst

• Company:
• Location: Canada
• Sector: RWA (Real World Assets)
• Source: web
  3.career

Canada

Compliance – Regulatory Compliance & Operations /

Remote

Our Local Programs and Regulatory Compliance team is responsible for ensuring compliance with local laws and regulations in the countries where we operate.

About the Role

We are seeking a highly motivated Compliance Senior Analyst to join our team. This role will help maintain and continuously enhance our Canadian compliance program as the business grows in a fast-moving digital asset and securities environment.

You will partner closely with Compliance leadership and cross-functional teams to translate regulatory expectations into practical policies, controls, training and day-to-day operating practices. The ideal candidate brings a strong working knowledge of Canadian securities regulation, including the CSA National Instruments, CIRO rules and is comfortable working across product, technology, operations, finance and legal stakeholders.

• Support the development, maintenance and execution of the Canadian compliance program in line with applicable CSA National Instruments, the firm’s Restricted Dealer and Marketplace registrations, and related exemptive relief.
• Support for  Canada’s CIRO membership, including reviewing and updating policies, procedures and controls against CIRO requirements.
• Monitor regulatory developments and assess their impact on products, services, processes and customer onboarding.
• Review and provide compliance guidance on product launches, product changes, digital asset offerings, custody, onboarding and operational workflows.
• Draft, maintain and improve compliance policies, procedures, monitoring plans, registers and other program documentation.
• Help design and deliver compliance training for employees and relevant business stakeholders.
• Support the review and escalation of compliance incidents, complaints, material issues and regulatory concerns to the Chief Compliance Officer (CCO) and ultimate designated person (UDP) as appropriate.
• Review marketing and customer-facing materials for regulatory alignment and appropriate disclosures.
• Support registration management for the firm and individual representatives, including coordination of required filings and records.
• Assist with regulatory examinations, meetings and information requests involving authorities such as the OSC, CIRO, FINTRAC and other applicable Canadian regulators.
• Collaborate with Product, Technology, Operations, Finance, Legal, Risk and other stakeholders to identify practical solutions and ensure requirements are implemented effectively.
• Support compliance monitoring, testing, issue tracking and reporting to senior management.
• Help strengthen governance, documentation and audit trails so that the program remains operationally effective and inspection-ready.

• 5+ years of relevant compliance, legal, regulatory, risk or securities experience, with meaningful experience applying Canadian securities requirements.
• Strong working knowledge of the CSA National Instruments relevant to crypto trading platforms, securities dealers, marketplaces, digital assets, custody and client onboarding.
• Knowledge of CIRO requirements and best practices, or the ability to quickly develop that knowledge; experience with CIRO frameworks is an asset.
• Experience supporting compliance programs for a securities dealer, marketplace, fintech, crypto trading platform, financial institution or similarly regulated business.
• Canadian resident with the ability to work effectively with Canadian regulatory stakeholders.
• Approved Person registration under applicable CSA/CIRO requirements, or willingness and ability to obtain the required registration.
• Strong written and verbal communication skills, with the ability to explain complex regulatory concepts clearly to non-specialists.
• Ability to build trusted relationships, challenge constructively and influence decisions across functions.
• Comfort working with change, ambiguity, competing priorities and multiple stakeholders.
• Highly organized, detail-oriented and process-minded, with sound judgment and a practical, solutions-oriented approach.
• Experience in digital assets, securities, custody, financial crime compliance or regulated onboarding is strongly preferred.

• Experience supporting regulatory exams, audits, remediation programs or regulator meetings.
• Experience with compliance monitoring, complaints, marketing review, registration…