Chief Compliance Officer

 Chief Compliance Officer (CCO) - Exempt Market Dealer (EMD) for Fin-tech Company - Remote Contract (part-time) Location: Surrey, BC (open to candidates from other provinces), operate remotely, with periodic office visits TBD Background: We are in the final stage of securing an Exempt Market Dealer (EMD) license with the BCSC that seeks a Chief Compliance Officer (CCO) to ensure compliance with the Securities Act. Management consists of seasoned and credible industry players with a knack for real estate transactions. As a fin-tech company, it will be registered to conduct business in BC, AB, and ON. We aim to provide individuals with access to private real estate opportunities to which they previously never had access to. The real estate industry has been traditionally out of reach for everyday people. We're changing the game so that literally everyone has a chance to get into the market by investing with us. We believe everyone should have the opportunity to own property through access to real estate investing at any amount, regardless of income, age, gender or background. The EMD is to develop its own products which will be distributed through its platform.  Responsibilities of the CCO:·        Advises on new products, services, and automated systems to assist with incorporating compliance requirements into these initiatives.·        Provide guidance on product disclosures, disclaimers, and ongoing reporting requirements to the BCSC as the EMD's main statutory regulator.·        Review and approve KYC (Know-Your-Customer) forms·        Review and approve KYP (Know-Your-Product) forms·        Monitor and assist in the yearly audit process to evaluate business activities (e.g., investments, transactions, integrity of audit trails) to assess compliance risks.·        Educate and train employees on current regulations and industry best practices.·        Knowledge of legal/compliance requirements and related internal controls (e.g. Anti-Money Laundering, Policies & Procedures Manual)·        Familiarity with industry practices and professional standards.·        Excellent written and oral communication skills; ability to translate technical legal language into clear, cogent, and concise plain English format.·        History of demonstrated integrity and professional ethics, coupled with an unblemished NRD record in the securities industry. It is initially a part-time, remote contract position with a requirement of 25 hours a month with additional hours during real estate transactions and negotiations. The client is open to converting the role to a full-time position once the EMD achieves specified scale and revenue targets and subject to candidate full-time suitability. The firm has expansion plans to include other, more advanced regulatory licenses. Requirements:·        Bachelor's degree / LLM Securities Law·        Completion of CCO Qualifying Exam, Exempt Market Proficiency Course, and PDO Exam from the CSI·        Minimum of five (5) years experience working with EMDs, IFM (Investment Fund Manager), PM (Portfolio Manager), and/or IIROC broker-dealers in either a compliance or management capacity.  Financial Services