Regulatory Compliance Manager (Accounting CPE)
Luminari
Accounting & Finance, Legal
Toronto, ON, Canada
Posted on Jan 26, 2025
At LumiQ, we’re on a mission to make professional education enjoyable. As a modern, audio-first learning platform, we empower accounting and finance professionals to fulfill their continuing professional development requirements through engaging podcasts. Over the past five years, we’ve cultivated a devoted customer base of over 1,000 corporate and accounting firms across North America.
LumiQ is proud to be a 2024 Deloitte Fast 50 winner. We’re creating awesome proprietary content, nailing our go-to-market strategy, and being the first to shake up the industry. Most recently, we secured a strategic investment from Vertu Capital to fuel our expansion globally and continue executing on our exponential growth plans.
LumiQ is also a certified Great Place to Work! We’re all about transparency, ownership, innovation, and empathy. If you’re ready to make a real impact and help us transform professional education, we’d love to hear from you!
We are seeking an experienced Regulatory Compliance Manager to help us navigate our evolving compliance obligations as we continue to scale. With our rapid growth in the US market and the potential for future expansion into new geographies and designations, we need someone to oversee our regulatory compliance risk. This role will focus on compliance from three major perspectives: Product, Operations, and Client requirements.
WHAT YOU'LL BE RESPONSIBLE FOR:
- Operational Compliance: Ensuring we are tracking and implementing any NASBA or state board CPE rule changes, managing renewals and applications, working with Content to ensure archives are happening appropriately, and researching additional designations or geographies.
- Product Compliance: Working closely with our Product and Engineering teams, you will ensure our platform is compliant with all relevant bodies and jurisdictions. For example, this could include working closely with the Product and Engineering teams on our LMS integrations, certificate generation, CPD/CPE credit rules, state-level requirements, etc.
- Client Compliance: Managing client and client-facing teams compliance questions and requirements. This could include building relationships with our firm clients compliance teams, supporting sales or our CS teams with their questions, building out internal documents and policies related to compliance, and developing and implementing protocols for managing compliance-related incidents, including investigations, reporting, and corrective action
- This role will be highly-cross functional, working especially closely with our Standards Compliance Manager on the Content team to continue to build out and iterate on our compliance related systems, processes, and documentation
WHO YOU ARE:
- Proven experience managing regulatory compliance for federal, state, and/or international CPE regulations for accountants. Experience working with NASBA and the accounting designation is highly desirable.
- Experience with Learning Management Systems (LMS). Ideally LC Vista, or other LMS systems (i.e Workday, Cornerstone)
- Experience leading compliance initiatives and acting as the primary point of contact for internal and external compliance-related inquiries.
- Excellent Communicator: with the ability to explain complex regulatory concepts to non-experts, client-facing teams, and customers.
- Detail-Oriented and Highly Organized: You have a keen eye for detail, ensuring our Product is in compliance with all state and NASBA standards
- Strong Collaborator: You work effectively with various teams and stakeholders, ensuring seamless collaboration.
We are a hybrid company based out of Toronto, Canada. Given the unique experience required for this role, we're open to remote candidates in the U.S. Remote employees will be expected to travel to the Toronto office quarterly.
Benefits and Perks:
-Health Benefits are available after 3 months with us, including a yearly health spending account. You'll also have access to an Employee Assistance Program for additional support if needed.
-Hybrid Work Style: The best of both worlds. Enjoy remote work and a downtown Toronto office with snacks, events, and ping pong.
-Monthly team social events: (Super Smash Bro party, hot chocolate bar, Blue Jays game, Hot One's Challenge are just a few examples of what we have done in the past).
-Schedule flexibility: We know our employees have lives outside of work and don’t mind if you need to run to a mid-day doctor's appointment or pick up a kid early from school!
-Nomad policy: Work remotely 4 weeks of the year from anywhere in the world.
-Endless Learning: Our platform isn't just for accountants. Listen to podcasts on soft skills, career development, leadership, and more.
-LumiQ Clubs: Join an existing club or start your own!