Position Title: Compliance Officer
Location: Toronto, ON
Status: Full-Time
Position Overview:
Our client is seeking a detail-oriented and proactive Compliance Officer to join our team. This role provides a unique opportunity to contribute to a strong culture of compliance within a dynamic financial services environment. The successful candidate will support the Compliance team in monitoring regulatory requirements, maintaining policies and procedures, and helping ensure adherence to internal and external obligations.
Key Responsibilities:
Regulatory Compliance Support
●Provide timely guidance to employees regarding regulatory obligations and firm policies.
●Respond to internal inquiries.
●Monitor for regulatory changes and assist in communicating updates across the organization.
Employee Trading & Surveillance
●Assist with the review and monitoring of employee personal trading activity.
●Contribute to trade surveillance activities on a daily, weekly, monthly, quarterly, and annual
basis.
Regulatory Inquiries & Incident Management
●Support the team in responding to regulatory requests and inquiries.
●Assist in investigating potential compliance issues.
Policies & Procedures
●Help maintain and update compliance policies and procedures to reflect current regulatory
requirements.
●Draft and revise documents as needed—experience in policy writing is considered an asset.
Regulatory Research
●Stay current on regulatory developments, industry trends, and best practices.
Training & Awareness
●Promote a culture of compliance by supporting awareness initiatives and training programs
●Provide guidance and respond to employee inquiries related to regulatory obligations.
Documentation & Record-Keeping
●Maintain accurate records of compliance policies, procedures, and reports.
●Assist in drafting, updating, and organizing compliance documentation to ensure it remains
current and accessible.
Requirements:
Skills and Qualifications:
●Bachelor's degree in Finance, Law, Business, or a related field.
●Proven experience in compliance or regulatory roles within the financial services industry.
●Strong knowledge of Canadian financial regulations and industry best practices.
●Excellent analytical and problem-solving abilities.
●Strong written and verbal communication skills.
●Highly organized, detail-oriented, and able to manage multiple priorities.
●Ability to work independently and collaboratively within a team environment.
●Proficiency in Microsoft Office and relevant compliance tools; familiarity with PositionWatch,
OneTick, and NRD is an asset.
●Completion of the Canadian Commodity Supervisors Exam (CCSE) is considered an asset.
Excellent Benefits & Perks:
The successful candidate will be rewarded with a competitive salary based on skills and experience. You'll also be entitled to an excellent benefits package, including:
This role offers an exciting opportunity for a Compliance Officer to make a meaningful impact. If you are enthusiastic about joining a dynamic team and contributing to organizational success, we encourage you to apply!
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