Deals Compliance Manager
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Job Location:
Monthly Salary:
Experience Required:
Posted on:
30+ days ago
Vacancies:
1 Vacancy
Job Summary
Deal Processing Expertise & Support Provide expert guidance on real estate transaction processing ensuring deals move smoothly through all stages from acceptance to closing. Support agents and teams with complex deal structures documentation requirements and procedural questions. Review and validate deal documentation for accuracy and completeness. Ensure alignment with brokerage-specific policies and procedures. Troubleshoot processing issues and provide solutions to keep transactions on track.
Regulatory Compliance & Advisory Maintain deep expertise in legislative and regulatory compliance requirements (eg: FINTRAC AML RECO) and provide guidance to ensure all transactions meet regulatory standards. Ensure adherence to the Trust in Real Estate Services Act 2020 ("TRESA") and compliance with The Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA) and PIPEDA rules and regulations. Monitor regulatory changes and update internal processes accordingly. Conduct compliance reviews of deals and documentation. Advise on risk mitigation strategies and proper compliance procedures. Provide ongoing education and training to staff on new or amended regulations to ensure compliance and up-to-date knowledge. Address inquiries from Broker of Records. Participate in hearings and audits if requested or require.
Real Estate Deal Accounting Support Provide expertise on trust accounting deposit handling and financial transaction requirements. Ensure proper documentation of all financial aspects of real estate transactions. Address reconciliation issues and guide teams on proper handling of deposits commissions and closing funds.
Internal Controls & Infrastructure Partner with our engineering team to establish and maintain appropriate internal controls related to document flow management. Design and implement systems for tracking financial transactions and ensuring proper documentation workflows. Advise on audit and control requirements to ensure accuracy and compliance and secure document handling.
Consultation & Knowledge Sharing Serve as the go-to subject matter expert for complex deal processing and compliance questions. Provide training and guidance to staff and stakeholders on best practices. Create and maintain documentation procedures and training materials. Share expertise through formal and informal consultation sessions.
Risk Identification & Mitigation Proactively identify potential compliance risks or deal processing issues before they become problems. Provide guidance on managing high-risk transactions or unusual circumstances. Support audit processes and regulatory inquiries when needed. Develop risk assessment frameworks and mitigation strategies.
Process Improvement & Quality Assurance Identify opportunities to streamline and improve deal processing workflows. Review current processes for compliance gaps or inefficiencies. Recommend and implement process improvements that enhance accuracy and reduce risk. Maintain quality standards across all deal processing activities.
Role Requirements
Experience & Licensing:
5 years of experience as a Broker of Record or Broker Manager and/or 7 Years of Deal processing experience
Active Ontario Broker license (Nice to have)
Proven track record in real estate brokerage operations and compliance oversight
Regulatory & Compliance Expertise:
In-depth knowledge of TRESA RECO processes and best practice guidelines OREA resources FINTRAC compliance and any other related associations
Deep understanding of PIPEDA and CRTC DNC rules and regulations
Experience with regulatory audits and hearings
Current knowledge of evolving real estate regulations and compliance requirements
Technical Skills:
Expertise in real estate transaction processing from acceptance to closing
Strong knowledge of trust accounting deposit handling and financial transaction requirements
Experience with internal controls audit trails and documentation workflows
Proficiency with real estate software systems and LoneWolf platforms
Leadership & Communication:
Proven ability to provide training and education
Strong consultation and advisory skills with ability to address complex compliance questions
Experience creating documentation procedures and training materials
Excellent written and verbal communication skills
Analytical & Problem-Solving Skills:
Ability to identify compliance risks and develop mitigation strategies
Experience in process improvement and quality assurance
Strong attention to detail for reviewing and validating deal documentation
Capability to troubleshoot complex transaction issues
Operations & Sales Assistant We are looking for a highly organized and process-driven Operations & Sales Assistant to support our growing team. This role is ideal for someone with experience in operations, process optimization, and systems creation, who thrives in a fast-paced environment and is eager to improve efficiency across multiple departments. The ideal candidate will take of operational workflows, streamline onboarding/offboarding processes, and reporting and administrative functions to support our agents and leadership team. What s Involved Operational Process & Systems Management Evaluate, document, and refine onboarding, offboarding, and agent support processes improve efficiency. Create and implement standard operating procedures (SOPs) for key administrative and sales support functions. Optimize use of technology tools such as Trello, Follow-up Boss, Broker Wolf, DotLoop, and CRM systems to enhance workflow automation. Agent Support & Onboarding Conduct individual training and orientation sessions for new agents. Manage all aspects of agent onboarding (all branches), including paperwork, TRREB and RECO applications/transfers, and account setups (Google, DotLoop, CRM). Initiate follow-up processes for managers and agents to ensure smooth transitions. Oversee Broker Wolf deal processing setup for all new agents. Agent Offboarding Manage all administrative aspects of agent departures, including paperwork processing and account closures. Ensure a seamless transition by following structured offboarding procedures. Administrative & Sales Support Maintain a Weekly Agent Report tracking recruiting, incoming, and outgoing agents. Manage the Distillery Training Calendar, scheduling workshops and training sessions. Facilitate lead transfers for call sessions across all branches. Oversee and respond to group inboxes (e.g., , ). Generate and distribute sales reports to the Senior Leadership Team (SLT) as needed. Provide sales data to the Marketing team upon request. Event & Meeting Coordination Track and coordinate annual agent awards. Order food for meetings, workshops, and training sessions. Schedule and manage meeting bookings for SLT. Support event planning initiatives for company-wide activities. Talent Specs 3+ years of experience in operations, process management, or systems creation, preferably in real estate, professional services, or a related field. Strong ability to create, refine, and implement efficient workflows. Experience using Trello, Follow-up Boss, Broker Wolf, DotLoop, Google Suite, and CRM systems (or similar platforms). Exceptional organizational, analytical, and problem-solving skills. Proven ability to manage multiple priorities, work independently, and take initiative. Strong communication and interpersonal skills to support agents and leadership teams. A proactive, solution-oriented mindset with a focus on process improvement.
Key Skills
- Abinitio
- Apprentice
- Dermatology
- Cost Estimation
- Data Networking
- Liaison
