Senior Compliance Analyst

Responsibilities

• Support the development, maintenance and execution of the Canadian compliance program in line with applicable CSA National Instruments, the firm’s Restricted Dealer and Marketplace registrations, and related exemptive relief.
• Support for Crypto.com Canada’s CIRO membership, including reviewing and updating policies, procedures and controls against CIRO requirements.
• Monitor regulatory developments and assess their impact on products, services, processes and customer onboarding.
• Review and provide compliance guidance on product launches, product changes, digital asset offerings, custody, onboarding and operational workflows.
• Draft, maintain and improve compliance policies, procedures, monitoring plans, registers and other program documentation.
• Help design and deliver compliance training for employees and relevant business stakeholders.
• Support the review and escalation of compliance incidents, complaints, material issues and regulatory concerns to the Chief Compliance Officer (CCO) and ultimate designated person (UDP) as appropriate.
• Review marketing and customer-facing materials for regulatory alignment and appropriate disclosures.
• Support registration management for the firm and individual representatives, including coordination of required filings and records.
• Assist with regulatory examinations, meetings and information requests involving authorities such as the OSC, CIRO, FINTRAC and other applicable Canadian regulators.
• Collaborate with Product, Technology, Operations, Finance, Legal, Risk and other stakeholders to identify practical solutions and ensure requirements are implemented effectively.
• Support compliance monitoring, testing, issue tracking and reporting to senior management.
• Help strengthen governance, documentation and audit trails so that the program remains operationally effective and inspection-ready.

Requirements

• 5+ years of relevant compliance, legal, regulatory, risk or securities experience, with meaningful experience applying Canadian securities requirements.
• Strong working knowledge of the CSA National Instruments relevant to crypto trading platforms, securities dealers, marketplaces, digital assets, custody and client onboarding.
• Knowledge of CIRO requirements and best practices, or the ability to quickly develop that knowledge; experience with CIRO frameworks is an asset.
• Experience supporting compliance programs for a securities dealer, marketplace, fintech, crypto trading platform, financial institution or similarly regulated business.
• Canadian resident with the ability to work effectively with Canadian regulatory stakeholders.
• Approved Person registration under applicable CSA/CIRO requirements, or willingness and ability to obtain the required registration.
• Strong written and verbal communication skills, with the ability to explain complex regulatory concepts clearly to non-specialists.
• Ability to build trusted relationships, challenge constructively and influence decisions across functions.
• Comfort working with change, ambiguity, competing priorities and multiple stakeholders.
• Highly organized, detail-oriented and process-minded, with sound judgment and a practical, solutions-oriented approach.
• Experience in digital assets, securities, custody, financial crime compliance or regulated onboarding is strongly preferred.

Nice to Have

Experience supporting regulatory exams, audits, remediation programs or regulator meetings.
Experience with compliance monitoring, complaints, marketing review, registration management or regulatory reporting.
Knowledge of FINTRAC, AML/CTF, sanctions, privacy or market integrity obligations applicable to Canadian digital asset businesses.
Relevant professional designation or legal/compliance qualification.
Knowledge of some OCC Banking regulations.