< Browse more articles

Finhaven, located in Vancouver, is building a full-stack capital market infrastructure for the issuance, investment, and trading of digital securities. We are driving innovation in global capital markets by building from the ground up!

Finhaven Capital Inc. (the Company), a wholly-owned subsidiary of Finhaven is an exempt market dealer for the primary distribution of tokenized securities on Finhaven Investment Platform.  

The compliance framework for the Company is well established. We are getting ready to kick-start the business while working on the permission of the secondary trading of tokenized securities on Finhaven Investment Platform within the CSA regulatory sandbox framework.

The Company wants to hire a Chief Compliance Officer, who is excellent in executing compliance jobs while enjoying the adventurous start-up working environment with an innovative mindset as a team player.

We value transparency, creativity, and execution.

If you are interested in working for a fast-growing company at the intersection of capital markets and innovative technology, we would love to hear from you.

To apply to this position, please send your resume and cover letter to dh@finhaven.com.

Core Duties

  • Lead and advise on a broad
  • range of compliance matters including, the approval of marketing materials, managing conflicts of interest, business continuity planning, ensuring appropriate disclosures, approving client applications and assessing suitability, 
  • Direct all aspects of the AML Program, including ensuring compliance with ‘KYC’ obligations, client screening, risk assessments, audits and submitting STRs to FINTRAC,
  • Manage privacy compliance in accordance with governing privacy legislation such as PIPEDA and CASL,
  • Evaluate business operations and activities to assess compliance risk, 
  • Develop, implement and maintain the compliance, AML and privacy Policy & Procedures Manuals,
  • Write and deliver training in regulatory compliance, AML, and privacy,
  • Work with the technology developers and operations resources to create robust compliance and control systems.

Qualifications & Experience

  • Bachelor of Law, Chartered
  • Accountant, Chartered Financial Analyst, or Master of Business Administration preferred, but not required.
  • 7+ years of experience in regulatory compliance at a broker-dealer or investment advisory firm,
  • Must be senior compliance professional with at least 12 months of relevant securities industry experience in the prior 36-months period, and (i)  passed the Exempt Market Products, or the Canadian Securities Course Exam, and (ii) passed the Partners Directors and Officers, or the Chief Compliance Officers Exam,
  • Possess detailed knowledge of the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA) and understand the legal requirements as they apply to a securities dealer under the PCMLTFA and associated Regulations,
  • Have knowledge of the ML/TF risks and vulnerabilities as well as ML/TF trends and typologies,
  • Ability to communicate effectively both verbally and in writing with members of various internal teams, outside legal counsel and regulators,
  • Experience with or knowledge of global compliance rules and protocols
  • Ability to identify issues and trends in the securities  in order to anticipate change and provide recommended solutions,
  • A strong interest in Fintech is a plus.

Employment is contingent on the satisfactory completion of a pre-employment background check.

To apply to this position, please send your resume and cover letter to dh@finhaven.com.

We sincerely thank all applicants who express an interest in this role: only those being directly considered will be contacted.