Compliance Officer
Compliance Officer
Posted on :
26-04-2025
Employer Active
1 Vacancy
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Job Description
Position Title: Compliance Officer
Location: Toronto ON
Status: FullTime 1Year Contract (with potential for extension)
Our client is seeking a detailoriented and proactive Compliance Officer to join our team on a oneyear
contract basis with the possibility of extension. 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.
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 & RecordKeeping
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:
Bachelors 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 problemsolving abilities.
Strong written and verbal communication skills.
Highly organized detailoriented 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.
Benefits
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.
Employment Type
Full Time
Key Skills
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