Head of Compliance


About the job

Our Vision

As one of the worldโ€™s Top 10 (and rising ๐Ÿš€) digital asset exchanges, we provide a best-in-class experience in trading, security, and blockchain product innovation.

Weโ€™re making it possible to list the most recent and promising projects, safely trade with transparency, and democratize access to the markets, today!

Excited to join a decentralizing force in the world?

What you will be doing

  • Overseeing compliance with IIROS Rules and all applicable provincial securities and AML laws and regulations
  • Serving as Chief Compliance Officer of the Company and reporting to the UDP and the board of directors
  • Developing, maintaining and implementing compliance framework and/or policies in line with applicable laws
  • Establishing and maintaining policies and procedures to assess compliance by the Company and its employees with IIROC requirements and securities laws
  • Monitoring and assessing compliance by the Company and its employees with IIROC requirements and securities laws and providing written report of compliance assessment to the board of directors annually
  • Reporting any actual, foreseeable and/or potential non-compliance to the UDP
  • Monitoring day-to-day operation of the compliance function to ensure compliance and mitigation of compliance risks
  • Monitoring regulatory updates, assessing the Companyโ€™s compliance risks, reporting to UDP and making recommendations on any changes required
  • Handling regulatory requests, inquiries and/or investigations
  • Collaborating with other departments on particular projects and providing advice on compliance issues
  • Proactively reviewing and improving company procedures, practices and policies to identify, mitigate and manage risks periodically
  • Liaising with external parties such as lawyers and/or contractors

What we are looking for

  • With at least 8 โ€“ 10 years of experience in compliance and AML, 3-5 years of experience in cryptocurrency or capital markets preferably in regulators, licensed financial institutions, restricted dealers, marketplace or banks
  • 3-5 years of experience in the supervisory role as a CCO or MLRO
  • IROC proficiencies and experience to be registered as CCO
  • Completion of Chief Compliance Officers Qualifying Exam
  • Bachelor's Degree in Accountancy, Banking, Business or Law
  • Comprehensive knowledge of securities laws, IIROC rules, regulatory compliance practices, procedures and principles
  • Experience in responding to regulatory enquiries, examinations and investigations
  • Knowledge in crypto and/or blockchain technology
  • Familiar with AML/CFT, data privacy and other compliance focus in Fintech sectors
  • Relevant professional qualifications in law, financial services or audit are a plus
  • Qualifications such as CAMS or any compliance and/or AML-related certification are a plus
  • Experience in handling license applications is a plus
  • Excellent communication, organization, management and problem-solving skills

We are

A values-based Culture that trusts your knowledge, vision, and autonomy. We focus on taking the best products and campaigns to wow our customers and bring the freedom of decentralization to every part of the world.

Weโ€˜re made of critical thinkers, born communicators, and improvement-driven team-players.

Also, as a fully distributed and global Team, we appreciate and seek diversity in our Culture, background, and ideas.

Gate.io was founded in 2013, is one of the pioneering cryptocurrency exchanges in the world and offers services related to the trading of multiple leading digital assets. With over 10 million registered users, it is considered one of the safest and most reliable global cryptocurrency platforms and is consistently ranked among the top 10 cryptocurrency exchanges based on liquidity and trading volume on CoinGecko. Gate.io has been verified by Blockchain Transparency Instituteโ€™s (BTI) market surveillance report and was also rated 4.5 by Forbes Advisor, making it one of the Best Crypto Exchanges for 2021.

Gate.io offers one of the biggest selections of crypto assets as well as other services beyond its centralized cryptocurrency exchange, such as decentralized finance, research and analytics, venture capital investing, wallet services, and more.

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