- Compliance & Regulatory:
- Develop, implement, and uphold the compliance program to ensure adherence to securities laws and regulations.
- Maintain relationships with regulatory authorities and industry associations to stay updated on regulatory developments.
- Act as the main contact for regulatory examinations, audits, and inquiries, providing timely and accurate responses.
- Conduct regular risk assessments and compliance reviews to identify and address potential non-compliance or operational risks.
- Establish and maintain comprehensive compliance policies and procedures tailored to commercial real estate investing.
- Review and approve new member accounts, ensuring completeness of KYC information and suitability of recommendations.
- Conduct daily trade reviews to ensure accuracy, proper settlement, and compliance with investment mandates.
- Implement team training programs on operational changes and securities legislation.
- Monitor marketing activities and sales practices to ensure compliance.
- Ensure member disclosures comply with set regulations.
- Review and address member complaints promptly.
- Update the policies and procedures manual as necessary.
- Review real estate ledgers and final checklists to verify properties are launch-ready.
- Drive Automation and Scale for addyBusiness Software:
- Collaborate with the technology team to automate and scale compliance processes, enhancing efficiency and ROI.
- Work with legal to ensure Issuers have the necessary tools for regulatory filings, reports, and disclosures.
- Community Engagement:
- Actively participate in our Discord community, sharing insights and addressing queries about real estate opportunities.
- Represent the client at industry events, conferences, and networking opportunities.
- Build and nurture a strong presence in the real estate community, positioning the client as an industry leader.
- Leadership Experience: Demonstrated experience in leading compliance teams or initiatives in financial services.
- Regulatory Knowledge: Strong understanding of securities laws and regulations for exempt market dealers.
- Analytical Skills: Excellent problem-solving and decision-making abilities, with a knack for interpreting complex data.
- Communication Skills: Effective communication and interpersonal skills, enabling seamless collaboration and influence with stakeholders.
- Legal or Financial Background: Bachelor's degree in finance, Chartered Investment Manager (CIM) designation, business administration, law, or related fields; advanced degree preferred.
- Ethical Standards: Demonstrated sound judgment, integrity, and a strong commitment to high ethical standards.
- Compliance Leadership: Proven track record in establishing and leading compliance programs.
- Regulatory Expertise: In-depth knowledge of securities laws and ability to stay abreast of regulatory changes.
- Analytical Mindset: Ability to evaluate complex regulatory requirements and devise practical compliance solutions.
- Collaborative Approach: Strong relationship-building skills with both internal and external stakeholders.
- Drive for Excellence: Dedication to maintaining excellence in compliance practices and fostering continuous improvement.
- Learning Orientation: Enthusiasm for staying updated on emerging compliance trends and best practices.
- Investment matching program
- Office located in the heart of Kitsilano in Vancouver, BC
- Regular company-wide and team events
- Extended health benefits
- Work-from-home Thursdays
- 25 Flex Work from Home days per year
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Head of Investments - Vancouver, Canada - TM8
Description
Job DescriptionAbout the Role
As the Head of Investments & Compliance, you will be leading our efforts in expanding commercial real estate investing through the exempt market in Canada. Your role involves determining qualifying investments for the platform and collaborating closely with various stakeholders, shaping the company's strategic direction and decision-making process.
