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Compliance Analyst

2 months ago

Toronto, Canada Optimize Wealth Management Full time

Company Description

Optimize Wealth Management is a premier financial advisory firm that provides personalized financial solutions and advice to help clients achieve their financial goals. Our financial services and solutions cover everything from financial planning and portfolio management to tax preparation, debt management, and estate planning. We pride ourselves on our entirely holistic approach and no load advisory relationship, which ensure everyone succeeds and prospers together.


Role Description

We are seeking a full-time Compliance Analyst to join our team on-site in Toronto, ON. The Compliance Analyst will be responsible for ensuring that our firm is complying with all relevant laws, regulations, and ethical standards. Their day-to-day tasks include conducting audits, monitoring for compliance, communicating with the management team, and identifying and addressing potential compliance risks.


Qualifications

  • Regulatory Compliance and Auditing skills
  • Analytical Skills (Excel, Analysis, etc..)
  • Excellent Communication skills
  • Experience with Pooled and Mutual Fund Compliance
  • Finance background or experience
  • Experience with industry regulations and ethical standards
  • Ability to work independently and as part of a team
  • Attention to detail and ability to identify and address potential compliance risks
  • Bachelor's degree in Accounting, Finance, Business, or related field is preferred
  • Completion of relevant Canadian Securities Course an asset (CIM, CSC, CPH, WME)