Senior Compliance Analyst

Own securities compliance at a scaling NASDAQ-backed brokerage

About the role

Full-time, on-site (5 days)

Our client is the Canadian arm of a NASDAQ-listed global online brokerage serving more than 24 million users worldwide. A year after launching in Canada, the Toronto operation is growing fast, and a newly appointed CCO is building the compliance team around this hire.

You'll own the securities compliance side of the program: marketing and communications review, trade surveillance, complaint handling, account supervision, and regulatory reporting to CIRO, the CSA, and FINTRAC.

Day to day, you'll review marketing and social content against CIRO rules, work surveillance and AML alerts, support examinations and filings, and help draft policies as the firm expands into crypto assets. The compliance team runs on an internal AI platform for policy and marketing work, so you'll direct and review AI output rather than compile everything by hand. A specialist teammate covers crypto tooling and can bring you up the curve.

You're a hands-on dealer compliance professional, ideally from a fintech or online brokerage, who wants direct ownership with the CCO's backing. A path to CIRO Supervisor registration is on the table.