Head of Compliance (Licensing/ FX brokerage)

Hyphen Connect Limited • Ottawa, ON

3d

About The Position

This role is for a Head of Compliance / Compliance Officer within a financial services company. The position involves leading the global compliance framework, managing the full licensing lifecycle, and serving as the primary liaison with international regulators. The individual will establish and enhance risk-based AML/KYC policies, monitor suspicious transactions, and perform MLRO functions to ensure regulatory adherence. Responsibilities also include reviewing trading instruments and marketing materials to mitigate risks associated with copy trading, automated strategies, and misleading claims, as well as monitoring for abnormal trading behaviors like arbitrage or latency abuse in collaboration with Risk and Trading teams. The role requires developing internal SOPs, supporting external audits, and ensuring global compliance with data protection regulations such as GDPR and PDPA.

Requirements

• Bachelor’s degree in Law, Finance, Risk Management, or a related discipline.
• 3 to 10 years of hands-on experience in compliance within a trading platform, brokerage, or fintech environment.
• Strong familiarity with at least one major regulatory regime (e.g., ASIC, FCA, CySEC, MAS).
• Proven ability to balance regulatory adherence with business growth, possessing strong problem-solving and stakeholder management skills.

Nice To Haves

• Professional compliance certifications (such as ICA, CAMS) are highly preferred.

Responsibilities

• Lead the global compliance framework and manage the full licensing lifecycle, acting as the primary liaison with international regulators.
• Establish and enhance risk-based AML/KYC policies, monitor suspicious transactions, and perform MLRO functions to ensure regulatory adherence.
• Review trading instruments and marketing materials to mitigate risks associated with copy trading, automated strategies, and misleading claims.
• Monitor for abnormal trading behaviors such as arbitrage or latency abuse in collaboration with the Risk and Trading teams.
• Develop internal SOPs, support external audits, and ensure global compliance with data protection regulations such as GDPR and PDPA.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior