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Regulatory Compliance Manager


We are seeking a Regulatory Compliance Manager to coordinate all regulatory filings and reporting for NEO Exchange and its affiliates. The Regulatory Compliance Manager works directly under the Head of Legal and Regulatory ensuring that all regulatory matters are dealt with on a timely basis. You will coordinate with the Exchange’s Listings team and other staff across different departments on matters relating to the Exchange’s regulatory function, and guide management and staff in the establishment and maintenance of all applicable regulatory and compliance policies.

 

Responsibilities:

  • Preparing or coordinating the preparation of recurring and ad hoc regulatory filings and reporting for the Exchange and its affiliates
  • Responding to regulatory requests and liaising with securities regulators (OSC, other CSA and IIROC)
  • Maintaining a compliance calendar for the Exchange and affiliates and tracking compliance with applicable regulatory requirements
  • Maintaining regulatory compliance policies and procedures and proactively keeping them up to date with applicable changes
  • Drafting comment letters in response to regulators’ and other entities’ proposals, based on input from relevant business lines
  • Coordinating with the Exchange’s Listings team on regulatory matters
  • Assisting with occasional corporate secretarial matters as they relate to the Exchange’s regulatory function
  • General regulatory compliance assistance, e.g. file management and arranging meetings with regulators

Manager Responsibilities:

  • Assists with staff retention by orienting and training employees, maintaining a safe work environment, and developing personal growth opportunities
  • Accomplishes team results by communicating job expectations; planning, monitoring, and appraising job results; providing feedback coaching, counseling, and enforcing systems, policies, procedures, and productivity standards
  • Designs and implements business plans and strategies to promote the attainment of team goals
  • Maintains relationships with partners/vendors/suppliers as required
  • Represents the company at events, conferences etc.
  • Ensures adherence to legal and regulatory requirements and guidelines

Skills Required:

  • Bachelor’s Degree
  • 3-5 years of experience in compliance, regulatory or a related role in the securities industry is required
  • Good working knowledge of regulatory bodies including CSA and IIROC
  • Ability to work with stakeholders at all levels and to communicate efficiently both internally and externally
  • Proven track record of meeting deliverables
  • Strong time management and organization skills, and ability to multi-task
  • Detail oriented; strong written and verbal skills
  • Strong interest in learning new skills and ability to thrive in a dynamically evolving environment
  • Proficiency in all Microsoft Office applications

 

To apply for this position, please send a resume and cover letter with the job title in the subject line to NEO.Careers@neostockexchange.com.

We thank all applicants, however only those selected for an interview will be contacted.