Associate Compliance Officer

6 months ago

Toronto, Canada BMO Financial Group Full time

100 King Street West Toronto Ontario,M5X 1A1
- **THIS IS A 14 MONTH TEMPORARY FIXED TERM/SECONDMENT OPPORTUNITY WITH A TARGET START DATE OF JUNE 3rd**

The Canadian Regulatory Compliance Testing (RCT) team within the Legal, Regulatory and Compliance Group (LRC) has an opening for an Associate Compliance Officer who will be responsible for supporting and executing regulatory compliance testing engagements. The Testing team is responsible for performing independent regulatory compliance Testing activities across various business lines and Corporate Areas. The Associate Compliance officer will work with Senior Compliance Officers to execute assigned testing, which can also include assisting with audits of InvestorLine.

The Associate Compliance Officer will be responsible for independent second line of defence regulatory compliance testing activities and reporting exceptions identified to Compliance senior management and the associated Business or Corporate Area. The testing activities performed validate that lines of business are meeting their legislative and regulatory obligations in accordance with the Enterprise Compliance Program. The position works closely with Compliance Senior Management and internal stakeholders, supporting and assisting in the development of effective Testing Programs. To be effective in the role, the Associate Compliance Officer must maintain current knowledge of applicable regulatory requirements and developments, monitor and identify risks, and, when required, support the timely remediation of possible gaps and weaknesses.
- **THIS IS A 14 MONTH TEMPORARY FIXED TERM/SECONDMENT OPPORTUNITY WITH A TARGET START DATE OF JUNE 3rd**

**Regulatory Compliance Testing (90%)**
- Execute on assigned independent testing plans. Key activities include, but not limited to: engagement scoping, execution of testing program, issue communication / resolution, and presenting results.
- Support the development and design of testing strategies and methodologies in accordance with the ECP, Business Processes, Policies and Procedures.
- In accordance with the approved RCT testing schedule, initiate activities for upcoming Regulatory Compliance Testing reviews. Where required, determine scope, understand current risk assessment for relevant business group, and develop appropriate test steps and timelines.
- Execute detailed test script procedures, research and obtain supporting documentation relating to the work performed and document the results of the analysis process.
- Maintain accountability for adherence to established workpaper standards for consistent and detailed documentation.
- Ensure that Compliance reviews are proficiently and efficiently performed; accurately interpret results against distinct criteria.
- Evaluate the adequacy and effectiveness of policies, procedures, processes, and internal controls.
- Communicate any potential review findings to senior management in Compliance. Follow-up to support and verify appropriate response to issues identified before remediation begins.
- Prepare comprehensive reports of test conclusions by process and/or mandatory requirements.
- Effectively report findings, providing constructive recommendations, proposing areas for improvement and presenting/communicating to lines of business, Corporate Areas, and internal stakeholders.
- Ensure that testing and quality assurance reviews are delivered in alignment with the annual Compliance M&T Plan.
- Develop Compliance Testing expertise in identification of risks, assessing and reporting on the effectiveness of controls ensuring compliance with Federal, Provincial, Agency, Legal, Regulatory, Policy and Procedural requirements.

**Regulatory Governance (10%)**
- Provide support in the development and design of testing strategies and methodologies in accordance with Corporate Regulatory Compliance, Business Processes, Policies and Procedures.
- Support the provision of compliance information in regards to emerging issues and interpretation of regulations.
- Assist and support senior management in providing regular updates for Compliance Senior Leadership on the status of compliance testing, quality assurance reviews, and results of data analytics.
- Broader work or accountabilities may be assigned as needed.

**Qualifications**:

- 1+ years in compliance, operational risk management or financial services (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk)
- Bachelor’s degree required, recognized compliance certifications or equivalent a plus
- Sound and continued knowledge of the Compliance Risk Assessment process across different lines of business and the Corporation
- Knowledge of regulatory requirements, codes and standards applicable to both business and Corporate Areas (e.g. OSFI Guidelines, IIROC rules)
- Ability to provide management current information regarding standards of compliance with applicable rules

  • Associate Compliance Officer, Trade Surveillance

    7 months ago

    Toronto, Canada BMO Financial Group Full time

    100 King Street West Toronto Ontario,M5X 1A1 **Note this is a 1-year contract opportunity.** BMOII’s Trade Surveillance team within the Legal, Regulatory, Compliance and Procurement Group (LRCP) has an opening for an Associate Compliance Officer (1-year contract) who will be responsible for conducting daily and monthly trade surveillance activities for...

  • Compliance Associate

    7 months ago

    Toronto, Canada Toronto Hydro Full time

    The Compliance Associate, with guidance from the Manager of Compliance, will hold the primary responsibility for performing the fieldwork associated with the independent testing of Internal Controls over Financial Reporting (ICFR) and executing audit procedures to support the external auditor during quarterly, interim, and year-end financial statement...

  • Compliance Officer

    6 months ago

    Toronto, Canada CIRO Full time

    **Position Title: Compliance Officer (MFD)** **Department: Business Conduct Compliance** **Region: Toronto** **Status: Permanent Full-time (Hybrid)** CIRO is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada’s debt and equity marketplaces. CIRO is carrying on the...

  • Compliance Officer

    6 months ago

    Toronto, Canada Questrade Financial Group Full time

    Questrade Financial Group (QFG) of Companies is committed to helping our customers become much more financially successful and secure. We are everything a traditional financial institution is not. At QFG, you will be constantly moving forward, bringing the future of fintech into existence. You will be a part of a collaborative team that cares deeply about...

  • Rjlu Compliance Officer

    7 months ago

    Toronto, Canada Raymond James Financial Full time

    **RJLU Compliance Officer** - 2302911 - At Raymond James,_ _**_we_**_ _**_develop,_ _**_we_**_ _**_collaborate,_ _**_we_**_ _**_decide,_ _**_we_**_ _**_deliver, and_ _**_we_**_ _**_improve together_. Raymond James Ltd. is Canada’s leading independent investment dealers offering high quality investment products and services to Canadians seeking customized...

  • Compliance Officer

    7 months ago

    Toronto, Canada Iceberg Finance Group Full time

    **Company Overview**: iFinance Canada is a well-established national consumer financing company that offers various financing to Canadians since 1996. We are part of Iceberg Finance Group, a sister company based in Quebec that also does business across Canada. We are a dynamic, rapidly growing organization currently recruiting for a meticulous and...

  • Compliance Associate

    6 months ago

    Toronto, Canada NSUS Group Inc. Full time

    **Who are we?** Home of world Champion Daniel Negreanu, Winner of the best poker software 2021 and Guinness record holder for largest-ever online prize pool, GGPoker has taken the online poker world by storm. GGPoker launched in 2017, designed from the ground up by an experienced team of poker players who truly love the game. From our humble beginnings,...

  • Intern, Compliance Associate

    2 months ago

    Toronto, Canada Connor, Clark & Lunn Financial Group Full time

    **Intern, Compliance Associate** **Connor, Clark & Lunn Private Capital Ltd.** **Toronto, ON** CC&L Financial Group is seeking an** Intern **to join our **Compliance** Team for a **4-month term** (January - April 2025). **What do we offer a Private Client Intern?** A dynamic, fast-paced work environment where opportunities for learning and growth are...

  • Compliance Officer

    3 months ago

    Toronto, Canada CIRO Full time

    **Position Title: Compliance Officer** **Department: Business Conduct Compliance** **Region: Toronto** **Status: Permanent Full-time (Hybrid)** **Day in the life of**: CIRO is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada’s debt and equity marketplaces. CIRO is...

  • Associate Compliance Officer

    6 months ago

    Toronto, Canada BMO Financial Group Full time

    100 King Street West Toronto Ontario,M5X 1A1 As a member of the Compliance Program Management support team, you will support internal clients with questions directly related with how to use the compliance technology. This is an entry level role on the compliance team that requires customer service experience, organizational skills, general technical...

  • Compliance Associate, Contract

    5 months ago

    Toronto, Canada TORONTO HYDRO Full time

    The Compliance Associate, Contract, with guidance from the Manager of Compliance, will hold the primary responsibility for performing the fieldwork associated with the independent testing of Internal Controls over Financial Reporting (ICFR) and executing audit procedures to support the external auditor during quarterly, interim, and year-end financial...

  • Compliance Associate

    6 months ago

    Toronto, Canada Connor, Clark & Lunn Financial Group Full time

    **Compliance Associate** **Connor, Clark & Lunn Private Capital** **Toronto, ON** We are looking for a **Compliance Specialist** to join our Toronto-based Private Capital Compliance team. Reporting to the Chief Compliance Officer, you will support the overall compliance function of the business. You will be one of the primary resources for the firm’s...

  • Compliance Associate

    7 months ago

    Toronto, Canada FanDuel Full time

    **ABOUT FANDUEL GROUP** There are more ways to win, here at FanDuel. We're willing to bet on it. **THE ROSTER** At FanDuel Group, we give fans a new and innovative way to interact with their favorite games, sports, and teams. We're dedicated to building a winning team and we pride ourselves on being able to make every moment mean more, especially when it...

  • Chief Compliance Officer

    1 month ago

    Toronto, Canada OTT Financial Group Full time

    **OTT Pay Inc. **is an established, fully funded fintech company focused on delivering streamlined financial payment solutions. With a strategic focus on both acquiring and issuing business, we are developing a mobile-first platform that offers a wide range of financial services, loyalty programs, and innovative products, including credit cards, payment...

  • Compliance Associate

    7 months ago

    Toronto, Canada Choice Properties REIT Full time

    Location: 22 St. Clair Avenue East, Toronto, Ontario, M4T 2S5 Compliance Associate Choice Properties Real Estate Investment Trust is an owner, manager and developer of well-located retail and commercial real estate across Canada. Choice Properties' portfolio spans approximately 65 million square feet of gross leasable area and consists of over 700...

  • Compliance Associate

    7 months ago

    Toronto, Canada Choice Properties Full time

    **Location**: 22 St. Clair Avenue East, Toronto, Ontario, M4T 2S5 **Compliance Associate** Choice Properties Real Estate Investment Trust is an owner, manager and developer of well-located retail and commercial real estate across Canada. Choice Properties’ portfolio spans approximately 65 million square feet of gross leasable area and consists of over...

  • Compliance Officer

    7 months ago

    Toronto, Canada Independent Trading Group (ITG) Inc. Full time

    **Position Title**: Compliance Officer **Location**: Toronto **Status**:Permanent, Full-time **Position Overview**: As a Compliance Officer in the capital markets industry, your primary responsibility will be to assist and support the compliance team in ensuring that the organization operates within the legal and regulatory frameworks. You will play a...

  • Associate, Banking Compliance

    8 months ago

    Toronto, Canada Sumitomo Mitsui Banking Corporation Full time

    **Role Description**: Reporting to the Director, Regulatory Governance (“Director”), the Associate, Banking Compliance works closely with the Analyst, Regulatory Compliance with respect to the governance and execution of Canada Branch compliance risk management programs and related projects and initiatives. The position is responsible for a variety of...

  • Associate Director, Compliance

    3 weeks ago

    Toronto, Canada Royal Bank of Canada Full time

    Job Summary ...

  • Associate Director, Compliance

    1 month ago

    Toronto, Canada Royal Bank of Canada> Full time

    Job SummaryThe Associate Director, Compliance is an integral member of the Compliance team and assists in the implementation, maintenance and oversight of the compliance program for RBC Investor Services in Canada (RBC IS). The individual utilizes subject matter expertise pertaining to a TLCA trust company and asset custodian to proactively identify,...