Compliance Specialist

SENIOR REGULATORY COMPLIANCE SPECIALIST, Successful Investor Wealth Management Inc. We are an established wealth management and investment publishing firm with 25+ years of experience in subscription marketing and independent portfolio management with assets under management of $1 billion and growing. As a registered firm under the Ontario Securities Commission (OSC), we prioritize integrity, fiduciary responsibility, and regulatory excellence. We are currently seeking a Senior Regulatory Compliance Specialist to work alongside our CCO to help ensure our continued adherence to securities laws and regulatory best practices in a dynamic, client-focused environment. We are looking for a candidate committed to the area of compliance, seeking to advance their experience within the wealth management landscape and grow their responsibilities long term. The Senior Regulatory Compliance Specialist plays a critical role in maintaining our firm's compliance with applicable regulations and governing bodies, including those under the Ontario Securities Act, FINTRAC, CRA and OSC guidelines. This role will support our Chief Compliance Officer in managing day-to-day compliance operations, implementing compliance programs, and preparing for regulatory reviews and audits. In addition to primarily supporting compliance efforts, this role will also gain broad exposure to overall wealth management operations while participating in trade support and other administrative functions. Regulatory Compliance & Monitoring Monitor, interpret, and implement changes in OSC regulations, securities legislation, and other applicable rules, including FINTRAC and AML. Assist with ongoing review and enhancement of SIWMs compliance framework, policies, and internal controls. Conduct periodic and ad‑hoc internal compliance audits and risk assessments across relevant business activities; Support the maintenance of an effective compliance calendar to ensure all reporting and requirements are completed as required, within prescribed timelines. Support with investigating and responding to any client complaints or concerns pertaining to portfolio management activities. Assist with the preparation and coordination of regulatory filings, reporting, surveys, and audits. Manage ongoing compliance with Know‑Your‑Client (KYC), suitability, and client documentation obligations. Internal Advisory & Training Serve as a subject matter expert for staff on regulatory issues, suitability, conflicts of interest, and other compliance matters. Provide compliance training and guidance to management, portfolio managers, and operational staff. marketing material and investor communications, for regulatory compliance. Coordinate with internal and external auditors for compliance reviews. Prepare documentation and responses for OSC, FINTRAC, and CRA pooled fund audits, compliance reviews, and regulatory inquiries. Trading Execution, Management, and Reconciliation Monitor trade activity to ensure compliance with regulatory and internal guidelines. Help optimize operational workflows and reduce manual errors within the scope of the role. Provide administrative support in other areas of Wealth Management as qualified and able, including Portfolio Management, Fund Accounting, and Client Services. Bachelor's degree in law, Finance / Accounting, Business, or related field. Professional Designation holder of either a Lawyer, CFA, or CPA. Completion of the CSI Anti Money Laundering course. Minimum 57 years of experience working in regulatory compliance for a CSA‑registered company. Strong understanding of compliance frameworks and risk management principles, including regulations as prescribed under governing bodies and standards, i.e., OSC, FINTRAC, AML, etc. Highly proficient in using Microsoft Excel. Excellent command of the English language, both written and verbal. Being registered, and in good standing with the Ontario Securities Commission is considered a strong asset. Completion of the Partners, Directors, and Senior Officers (PDO) course. Knowledge of laws affecting High Net Worth Investors, including Tax, Estates, and Trusts. Flexible to work after hours as needed. Successful Investor Wealth Management Inc. welcomes and encourages applications from people with disabilities. Accommodations are available on request for candidates taking part in all aspects of the selection process. #