- Compliance & Regulatory:
- Develop, implement, and maintain the compliance program, ensuring adherence to securities laws and regulations.
- Maintain relationships with regulatory authorities and industry associations, staying updated on regulatory developments.
- Act as the primary contact for regulatory examinations, audits, and inquiries, ensuring timely and accurate responses.
- Conduct regular risk assessments and compliance reviews to identify and mitigate potential non-compliance or operational risks.
- Develop and maintain comprehensive compliance policies and procedures tailored to commercial real estate investing.
- Review and approve new member accounts, ensuring KYC information is complete and recommendations are suitable.
- Conduct daily trade reviews for errors, proper settlement, and compliance with investment mandates.
- Implement team training programs on operational changes and securities legislation.
- Monitor marketing activities and sales practices for compliance.
- Ensure member disclosures comply with section 14.2 of NI
- Review and investigate member complaints in a timely manner.
- Update the policies and procedures manual as needed.
- Review real estate ledgers and final checklists to confirm properties are ready for launch.
- Develop, implement, and maintain the compliance program, ensuring adherence to securities laws and regulations.
- Drive Automation and Scale for addyBusiness Software:
- Collaborate with the technology team to automate and scale compliance processes, enhancing efficiency and achieving ROI.
- Work with legal to ensure Issuers have the tools for regulatory filings, reports, and disclosures.
- Collaborate with the technology team to automate and scale compliance processes, enhancing efficiency and achieving ROI.
- Community Engagement:
- Participate actively in our Discord community, sharing knowledge and answering questions about real estate opportunities.
- Represent the client at industry events, conferences, and networking opportunities.
- Build and maintain a strong presence in the real estate community, positioning the client as a market leader.
- Participate actively in our Discord community, sharing knowledge and answering questions about real estate opportunities.
- Leadership Experience: Proven experience in leading compliance teams or initiatives in financial services.
- Regulatory Knowledge: Strong understanding of securities laws and regulations for exempt market dealers, including NI
- Analytical Skills: Excellent problem-solving and decision-making skills, with the ability to interpret complex data.
- Communication Skills: Effective communication and interpersonal skills, with the ability to collaborate and influence stakeholders.
- Legal or Financial Background: Bachelor's degree in finance, Chartered Investment Manager (CIM) designation, business administration, law, or a related field; advanced degree preferred.
- Ethical Standards: Sound judgment, integrity, and a commitment to high ethical standards.
- Compliance Leadership: Proven track record in building and leading compliance programs.
- Regulatory Expertise: Deep knowledge of securities laws and ability to stay ahead of regulatory developments.
- Analytical Mindset: Ability to assess complex regulatory requirements and develop practical compliance solutions.
- Collaborative Approach: Strong relationship-building skills with internal and external stakeholders.
- Drive for Excellence: Commitment to excellence in compliance practices and continuous improvement.
- Learning Orientation: Passion for staying informed about emerging compliance trends and best practices.
- Investment matching program
- Office 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
About the Role
As the Head of Investments & Compliance, you will lead our compliance efforts in expanding commercial real estate investing through the exempt market in Canada. You will determine qualifying investments for the platform and work closely with various stakeholders. This executive role influences the company's strategic direction and decision-making.
