Senior Compliance Associate

Webull Canada – Toronto Senior Compliance Associate Webull Securities (Canada) Ltd (Webull Canada) will provide a mobile first Order Execution Only retail investing platform. We are looking for a talented financial service Compliance professional in the Toronto area to be part of our growing team. Reporting to the CCO of Webull Canada the Senior Compliance Associate will work closely with the CCO and other Webull teams by delivering innovative and effective solutions as part of our Compliance team supporting Webull Canada offering to Canadian residents. Responsibilities Act as escalation point for issues arising out of compliance reviews and investigations. Take ownership of issues and work with business towards satisfactory resolutions for all parties in an effective tactical and insightful manner. Ensure high quality work, and development, maintenance and / or refinement of standards within the team. Continuously develop and maintain knowledge of applicable regulatory and compliance requirements, developments, and issues Support investigations on non-compliant matters and issues through verification of information analysis, identification of issues, and escalation of questionable issues. Reviewing Marketing materials on a timely basis (social media reviews etc.) Expert in monitoring and testing of procedures and policies designed to meet applicable securities regulatory requirements. Participate in ongoing projects and key deliverables providing guidance and support and ensuring the prompt and thorough resolution of issues as required. Other duties as required. Skills and Experiences Strong background in securities industry compliance, particularly CIRO / IIROC rules 1300, 2500 and the Universal Market Integrity Rules (UMIR). Experienced in Compliance, Risk, AML, PIPEDA industry is required. Strong working knowledge of Canadian operations, markets, and trading landscape including Options. Strong attention to detail, and problem-solving skills with the ability to thrive in a fast-paced environment. Highly organized and able to wear multiple hats for a fast-growing start-up. Able to balance and effectively prioritize multiple diverse challenges and conflicting responsibilities. Requirements 7 to 10 years of experience in a broker dealer, in Compliance, AML, Risk roles. CSC, CPH, IDSC required & other CSI courses an asset. Strong problem solving, control, and project management skills. Strong sense of urgency when it comes to support resolution. Proven ability to work efficiently and accurately under pressure in a fast-paced, multi-tasking environment. Ability to speak Mandarin, Canadian French a plus / preferred Webull promotes diversity and provides equal opportunity for all applicants and employees. We are dedicated to building a company that represents a variety of backgrounds, perspectives, and skills. We believe that the more inclusive we are, the better our work (and work environment) will be for everyone.

Location: Toronto, CA

Posted Date: 4/15/2024