Director of Risk & Compliance

Calgary

Finance, Legal & Compliance

Regular Full-Time

Overview

<p style="margin-top: 0pt; margin-bottom: 0pt;"><span style="font-size: 10pt; font-family: verdana, geneva; color: #333333; font-weight: 400;">At Neo, we&rsquo;re reimagining financial services from the ground up and shaping the financial future for millions of people in Canada. We&rsquo;re a tech company consistently pushing for the next best thing, which provides many opportunities to grow and learn personally and professionally. Ready to materialize your passion into a connected purpose? Come join a high-speed startup in a community of high-achieving dreamers and doers, set on innovating the best solutions.</span></p><p style="margin: 0px;">&nbsp;</p><p style="margin-top: 0pt; margin-bottom: 0pt;"><span style="font-size: 10pt; font-family: verdana, geneva; color: #333333; font-weight: 400;">Neo is looking for a full-time Director of Risk &amp; Compliance to join our team in Calgary. Our Compliance team navigates through a fast-paced environment and knows how to switch gears to adapt to any scenario. This role has the tough but critical job of ensuring the Compliance function enables Neo to continue innovating within the financial services sector while also complying with regulation, privacy and consumer protection standards at all times. They&rsquo;re motivated leaders who want to make things better, simpler and stronger. Make your mark with transformative products and technologies, alongside some of Canada&rsquo;s most successful leaders and tech minds.</span></p>

    What you'll be doing:

    <ul style="margin-top: 0; margin-bottom: 0;"><li style="font-size: 10pt; font-family: Verdana; color: #333333; font-weight: 400; margin-left: -13.5pt;" aria-level="1"><span style="font-size: 10pt; font-family: verdana, geneva; color: #333333; font-weight: 400;">Overseeing the delivery of Neo&rsquo;s enterprise risk management and compliance program to achieve operational excellence, meet legislative requirements, implement strategic goals and effectively manage compliance outcomes. This includes:</span></li><ul style="margin-top: 0; margin-bottom: 0;"><li style="font-size: 10pt; font-family: Verdana; color: #333333; font-weight: 400;" aria-level="2"><span style="font-size: 10pt; font-family: verdana, geneva; color: #333333; font-weight: 400;">Leading Neo&rsquo;s regulatory compliance framework to ensure ongoing compliance that abides by all applicable regulations as well as internal policies and procedures, and is capable of supporting a quickly scaling tech organization.</span></li><li style="font-size: 10pt; font-family: Verdana; color: #333333; font-weight: 400;" aria-level="2"><span style="font-size: 10pt; font-family: verdana, geneva; color: #333333; font-weight: 400;">Designing and maintaining a proactive enterprise risk management program to ensure early identification of risk exposures.&nbsp;</span></li><li style="font-size: 10pt; font-family: Verdana; color: #333333; font-weight: 400;" aria-level="2"><span style="font-size: 10pt; font-family: verdana, geneva; color: #333333; font-weight: 400;">Working with other business leaders to develop and implement appropriate controls to manage residual risk within Neo&rsquo;s tolerance.</span></li><li style="font-size: 10pt; font-family: Verdana; color: #333333; font-weight: 400;" aria-level="2"><span style="font-size: 10pt; font-family: verdana, geneva; color: #333333; font-weight: 400;">Providing strategic insights, guidance, and decisions on compliance matters to protect Neo, all Neo products and most importantly, customers.</span></li><li style="font-size: 10pt; font-family: Verdana; color: #333333; font-weight: 400;" aria-level="2"><span style="font-size: 10pt; font-family: verdana, geneva; color: #333333; font-weight: 400;">Working cross-functionally to complete risk assessments and identify/document key control activities for regulatory compliance processes.</span></li><li style="font-size: 10pt; font-family: Verdana; color: #333333; font-weight: 400;" aria-level="2"><span style="font-size: 10pt; font-family: verdana, geneva; color: #333333; font-weight: 400;">Performing Neo&rsquo;s quarterly risk audit process to test and validate identified controls are operating effectively and implement new controls where gaps are identified.</span></li><li style="font-size: 10pt; font-family: Verdana; color: #333333; font-weight: 400;" aria-level="2"><span style="font-size: 10pt; font-family: verdana, geneva; color: #333333; font-weight: 400;">Preparing ongoing regular updates to senior leadership and the Board of Directors.</span></li><li style="font-size: 10pt; font-family: Verdana; color: #333333; font-weight: 400;" aria-level="2"><span style="font-size: 10pt; font-family: verdana, geneva; color: #333333; font-weight: 400;">Ensuring all internal policies and procedures reflect regulatory requirements and industry best practices.&nbsp;</span></li><li style="font-size: 10pt; font-family: Verdana; color: #333333; font-weight: 400;" aria-level="2"><span style="font-size: 10pt; font-family: verdana, geneva; color: #333333; font-weight: 400;">Proactively evaluating internal processes to identify compliance risks and implement appropriate mitigations to address them.</span></li><li style="font-size: 10pt; font-family: Verdana; color: #333333; font-weight: 400;" aria-level="2"><span style="font-size: 10pt; font-family: verdana, geneva; color: #333333; font-weight: 400;">Building strategic, tactical and operational goals according to timelines and budget.</span></li><li style="font-size: 10pt; font-family: Verdana; color: #333333; font-weight: 400;" aria-level="2"><span style="font-size: 10pt; font-family: verdana, geneva; color: #333333; font-weight: 400;">Arranging for ongoing independent assessments, reviews or audits of Neo&rsquo;s compliance programs to ensure best-in-class performance.&nbsp;</span></li></ul></ul><p style="margin-left: 72pt; margin-top: 0pt; margin-bottom: 0pt;">&nbsp;</p><ul style="margin-top: 0; margin-bottom: 0;"><li style="font-size: 10pt; font-family: Verdana; color: #333333; font-weight: 400; margin-left: -13.5pt;" aria-level="1"><span style="font-size: 10pt; font-family: verdana, geneva; color: #333333; font-weight: 400;">Leading and developing a robust internal Compliance team by providing mentorship, making hiring decisions, implementing appropriate training, and supporting all team members create and implement practical and solution-oriented compliance tools for internal business teams.</span></li></ul><p style="margin-left: 36pt; margin-top: 0pt; margin-bottom: 0pt;">&nbsp;</p><ul style="margin-top: 0; margin-bottom: 0;"><li style="font-size: 10pt; font-family: Verdana; color: #333333; font-weight: 400; margin-left: -13.5pt;" aria-level="1"><span style="font-size: 10pt; font-family: verdana, geneva; color: #333333; font-weight: 400;">Providing strategic advice and guidance to all internal business teams, including regular interaction and advice to Neo&rsquo;s leadership team. This requires being responsible for building, and advocating for, a culture of compliance within the entire organization and ensuring appropriate resources are available to support compliance requirements.&nbsp;</span></li></ul><p style="margin-left: 36pt; margin-top: 0pt; margin-bottom: 0pt;">&nbsp;</p><ul style="margin-top: 0; margin-bottom: 0;"><li style="font-size: 10pt; font-family: Verdana; color: #333333; font-weight: 400; margin-left: -13.5pt;" aria-level="1"><span style="font-size: 10pt; font-family: verdana, geneva; color: #333333; font-weight: 400;">This role will become an integral component of Neo&rsquo;s Legal &amp; Compliance team and will work collaboratively with Neo&rsquo;s internal legal counsel.</span></li></ul>

      Who we're looking for:

      <ul style="margin-top: 0; margin-bottom: 0;"><li style="font-size: 10pt; font-family: Verdana; color: #333333; font-weight: 400; margin-left: -13.5pt;" aria-level="1"><span style="font-size: 10pt; font-family: verdana, geneva; color: #333333; font-weight: 400;">Bachelor&rsquo;s Degree in Business, Accounting or equivalent.</span></li><li style="font-size: 10pt; font-family: Verdana; color: #333333; font-weight: 400; margin-left: -13.5pt;" aria-level="1"><span style="font-size: 10pt; font-family: verdana, geneva; color: #000000; font-weight: 400;">CPA, CIA, CGA, CMA, CA or MBA preferred.</span></li><li style="font-size: 10pt; font-family: Verdana; color: #333333; font-weight: 400; margin-left: -13.5pt;" aria-level="1"><span style="font-size: 10pt; font-family: verdana, geneva; color: #333333; font-weight: 400;">Experience in risk management, public accounting, internal controls or internal audit.</span></li><li style="font-size: 10pt; font-family: Verdana; color: #333333; font-weight: 400; margin-left: -13.5pt;" aria-level="1"><span style="font-size: 10pt; font-family: verdana, geneva; color: #333333; font-weight: 400;">Proficiency in risk, process assessment and controls testing carried out to achieve regulatory objectives.</span></li><li style="font-size: 10pt; font-family: Verdana; color: #333333; font-weight: 400; margin-left: -13.5pt;" aria-level="1"><span style="font-family: verdana, geneva; font-size: 10pt;"><span style="color: #333333; font-weight: 400;">A background in </span><span style="color: #000000; font-weight: 400;">technology, high-growth companies, and fast scaling teams, and/or the financial services industry.</span></span></li><li style="font-size: 10pt; font-family: Verdana; color: #333333; font-weight: 400; margin-left: -13.5pt;" aria-level="1"><span style="font-size: 10pt; font-family: verdana, geneva; color: #000000; font-weight: 400;">Ideally the candidate will have knowledge or experience dealing with FINTRAC, OSFI, CDIC or FCAC. Experience with GRC Systems is considered an asset.</span></li><li style="font-size: 10pt; font-family: Verdana; color: #333333; font-weight: 400; margin-left: -13.5pt;" aria-level="1"><span style="font-size: 10pt; font-family: verdana, geneva; color: #000000; font-weight: 400;">Strong interpersonal skills with an impressive history of forging strong relationships with multiple stakeholders and relating well to people of all backgrounds and at all levels.</span></li><li style="font-size: 10pt; font-family: Verdana; color: #333333; font-weight: 400; margin-left: -13.5pt;" aria-level="1"><span style="font-size: 10pt; font-family: verdana, geneva; color: #000000; font-weight: 400;">Proactively seeks to improve processes, raising quality and productivity through efficiencies or by implementing best-in-class solutions.</span></li><li style="font-size: 10pt; font-family: Verdana; color: #333333; font-weight: 400; margin-left: -13.5pt;" aria-level="1"><span style="font-size: 10pt; font-family: verdana, geneva; color: #000000; font-weight: 400;">An entrepreneurial flair with well-developed business instincts.</span></li><li style="font-size: 10pt; font-family: Verdana; color: #333333; font-weight: 400; margin-left: -13.5pt;" aria-level="1"><span style="font-size: 10pt; font-family: verdana, geneva; color: #000000; font-weight: 400;">Strong organization and time management skills and the ability to meet short deadlines and prioritize work.</span></li></ul>

        ..

        About applying with us:

        <p style="margin-top: 0pt; margin-bottom: 0pt;"><span style="font-size: 10pt; font-family: verdana, geneva; color: #333333; font-weight: 400;">At Neo, you&rsquo;ll be working with industry-leading technology that changes the way we live and realize a better financial future. It&rsquo;s a serious deal, but that doesn&rsquo;t mean we don&rsquo;t know a thing or two about having fun. Our entrepreneurial environment gets our adrenaline pumping and beats the regular 9-5 job. We&rsquo;re in it together, always. Gain hands-on experience and be part of the future.</span></p><p style="margin-top: 0pt; margin-bottom: 0pt;"><span style="font-size: 10pt; font-family: verdana, geneva; color: #333333; font-weight: 400;">&nbsp;</span></p><p style="margin-top: 0pt; margin-bottom: 0pt;"><span style="font-size: 10pt; font-family: verdana, geneva; color: #333333; font-weight: 400;">Neo Financial is an equal opportunity employer. We are excited to meet with and hire the top talent out there. We appreciate your interest in working with us; however, only those applicants selected for interviews will be contacted. Successful candidates for this position will be required to undergo a security screening, including a criminal records check and may require a credit check.</span></p>