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Compliance Officer

1 month ago

Toronto ON, Canada Options Consulting Solutions Full time €120,000

COMPLIANCE OFFICER
FULL-TIME
DOWNTOWN TORONTO, ON
As the Compliance Officer , you will be responsible for overseeing the firm’s regulatory and internal compliance programs, ensuring that all operations, transactions, and client interactions comply with applicable laws, regulations, and internal policies. You will collaborate with various departments to provide guidance, implement compliance protocols, and monitor activities that may pose potential compliance risks.

Our client is an investment firm with a history of skillfully navigating the market and providing clients with exceptional service. If you are a proactive and goal-driven tax professional looking to make your mark and further your career with a strong team, this could be the next step for you

Office located in downtown Toronto
Ensure the firm's operations comply with relevant securities laws, industry regulations, and financial standards, including those established by IIROC, OSC, CSA, and other governing bodies.
Conduct regular audits and compliance checks to identify areas of risk or non-compliance.
Implement and maintain the firm’s risk management framework, ensuring all risks are identified, assessed, and appropriately mitigated.
Review and analyze internal controls, policies, and procedures to identify weaknesses and recommend improvements.
Prepare and submit mandatory regulatory reports to authorities, including compliance certifications, filings, and transaction reports.
Assist with regulatory examinations, audits, and inquiries, and act as a key point of contact with regulatory bodies.
Develop, update, and enforce compliance policies and procedures to align with evolving regulations and industry standards.
Train and educate employees on regulatory requirements and internal compliance protocols.
Review and monitor the firm’s trading activities, ensuring all transactions comply with regulatory and internal policies.
Advise senior management, portfolio managers, and traders on regulatory issues affecting business strategies and decisions.
Respond to inquiries from clients, regulators, and internal departments on compliance-related matters.
Provide compliance expertise to business development initiatives, ensuring new services or products meet regulatory requirements.

6+ years of compliance leadership experience within the securities, investment, or financial services industry.
~ Strong understanding of securities regulations, including IIROC, OSC, CSA, and other regulatory bodies.
~ Ability to assess complex regulatory frameworks and provide practical solutions.
~ Applicants selected for an in-person interview will be asked whether specific accommodations are needed to support a personal disability.

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