Regulatory Compliance Specialist

1 month ago

Toronto, Ontario, Canada CPA Ontaro Full time
Key Responsibilities

We are seeking a highly skilled Regulatory Compliance Specialist to join our team at CPA Ontario. As a key member of our Membership Operations team, you will be responsible for ensuring the accuracy and integrity of our membership database, as well as providing exceptional customer service to our members.

Key Responsibilities:

  • Participate in and support the annual regulatory processes, including the collection of annual membership dues, continuing professional development declarations, and annual and triennial audits.
  • Draft internal and external communications, including manual forms, decision letters, and reviewing website content to ensure accuracy and professionalism.
  • Review and make recommendations for all membership-related applications and processes, ensuring compliance with regulations, bylaws, policies, and procedures.
  • Review and collect required documentation, information, and investigation results relating to the reporting of bankruptcies and insolvencies of members, and coordinate files for management and Registrar review.
  • Review lists of members who have not met their annual obligations for suspensions or revocations by the Registrar as appropriate.
  • Review and prepare files for the Membership Manager to review, and provide sign-off or recommendation for approval/denial on behalf of the Registrar.
  • Liaise with members, both external and internal, by phone, email, and mail on various yearly applications and daily tasks, and respond to membership inquiries and escalated member calls from the Customer Service Center and other internal departments.
  • Work with other departments within the organization to verify membership standing and assist with the monthly packaging of membership and other award certificates.
  • Identify issues and trends, prepare summaries, memos, reports, and make suggestions for issue resolution, while contributing to the continuous improvement of processes, policies, and more.
  • Act as a subject matter expert and support departmental and organizational projects.
Requirements

To be successful in this role, you will require:

  • A post-secondary graduate with a degree in Business, Office Administration, or other related discipline.
  • Experience in a related field such as academic, membership, regulatory, or professional services, combined with knowledge of complex bylaws, policies, and procedures.
  • Technical savvy and knowledgeable in Microsoft Office (Word, Excel, Outlook, and PowerPoint) and Microsoft 365 tools (Teams, SharePoint, OneDrive, and OneNote); prior experience with Salesforce and Power BI are preferred.
  • An excellent communicator (verbal and written) with a service-oriented mindset and the ability to interact with difficult individuals and situations with diplomacy, using sound judgment and discretion when issues should be escalated.
  • Detail-oriented with the ability to manage data accurately for record-keeping and the efficient management of membership database systems.
  • Able to prioritize, multi-task, and work well under pressure with high volumes of applications and accountability for meeting deadlines.
  • Self-motivated and able to act on own initiative with independent work, while also collaborating within a team environment.
  • Flexible and available to work overtime beyond regular hours when required.
What We Offer

We offer a fast-paced environment with collaboration, innovation, and passionate professionals at our core. We provide flexible work environments, diversity and inclusion, ongoing learning and career growth, and a focus on your well-being. We are committed to building high-performance teams and encourage you to set up CPA Ontario job alerts for positions that align to your experience and career goals.

  • Trade Compliance Specialist

    3 weeks ago

    Toronto, Ontario, Canada Trade Compliance Recruiting Solutions Full time

    Hiring a Trade Compliance Specialist to join our team at Trade Compliance Recruiting Solutions in the University of Toronto, Mississauga campus area.Job Description:We are seeking an experienced Trade Compliance Specialist to work 100% on site with flexible working hours. As the subject matter expert in Trade Compliance for our global company, you will be...

  • Regulatory Compliance Specialist

    3 weeks ago

    Toronto, Ontario, Canada Randstad Canada Full time

    Are you looking to gain experience within a top-tier financial institution? If so, this is an excellent opportunity for you. Our client, a leading bank, is seeking a Regulatory Compliance Specialist to join their team.This 6-month contract in Toronto offers the chance to work with a highly respected organization and gain valuable experience. The position...

  • Compliance Specialist

    2 weeks ago

    Toronto, Ontario, Canada Scotiabank Full time

    At Scotiabank, we are committed to excellence in compliance and regulatory affairs. We are seeking a highly skilled Compliance Specialist to join our team in Toronto, Canada.About the RoleWe are looking for an experienced Compliance Specialist with a strong background in regulatory affairs to lead compliance testing engagements for our Canadian operations....

  • Senior Regulatory Compliance Specialist

    4 weeks ago

    Toronto, Ontario, Canada GTT, LLC Full time

    Job Title: Senior Regulatory Compliance SpecialistAre you an experienced professional in financial services regulatory compliance seeking a dynamic role in a high-growth fintech and banking organization? We're looking for a dedicated Senior Regulatory Compliance Specialist to join our team in Toronto, Canada. This is a full-time, permanent position with a...

  • Regulatory Licensing Specialist

    2 weeks ago

    Toronto, Ontario, Canada Financial Services Regulatory Authority of Ontario Full time

    The Financial Services Regulatory Authority of Ontario is seeking a highly skilled Licensing & Registration Specialist to join our team.As a key member of our regulatory team, you will be responsible for reviewing and analyzing license and registration applications from financial services intermediaries to ensure compliance with relevant legislation and...

  • Senior Regulatory Compliance Specialist

    3 weeks ago

    Toronto, Ontario, Canada BMO Full time

    At BMO, we are seeking a Senior Regulatory Compliance Specialist to join our team. As a key member of our compliance function, you will play a critical role in ensuring that our business activities comply with regulatory requirements.About the RoleThis is an exciting opportunity for an experienced compliance professional to take on a leadership role and...

  • Regulatory Compliance Specialist

    2 weeks ago

    Toronto, Ontario, Canada Liberty Mutual Canada Full time

    Job Summary:We are seeking a highly skilled Regulatory Compliance Specialist to join our team at Liberty Mutual Canada. This role will be responsible for ensuring the entities' compliance with regulatory and tax reporting requirements.Key Responsibilities:Lead and support end-to-end process for regulatory returns, including liaison with other business...

  • Compliance and Regulatory Expert

    1 month ago

    Toronto, Ontario, Canada beBee Professionals Full time

    Regulatory Affairs Specialist Job Description:BeBee Professionals is looking for a skilled Regulatory Affairs Specialist to join our team in Toronto. The successful candidate will be responsible for ensuring our products comply with applicable regulations and standards.Key Responsibilities: Prepare and submit regulatory documents, such as registration...

  • Regulatory Compliance Specialist

    2 weeks ago

    Toronto, Ontario, Canada CI Financial Full time

    Job DescriptionWe are seeking a highly skilled Regulatory Compliance Specialist to join our Compliance team at CI Financial. As a key member of our team, you will be responsible for conducting compliance tasks in accordance with internal procedures and regulatory requirements.Key Responsibilities:Approve pre-clearance requests from registrants.Help onboard...

  • Compliance Specialist, Regulatory Oversight

    3 weeks ago

    Toronto, Ontario, Canada First National Full time

    Job Summary:We are seeking a skilled Compliance Specialist to join our team at First National. This role will play a critical part in ensuring our compliance program remains effective and efficient.Main Responsibilities:Support the implementation of our enterprise-wide compliance regime.Conduct risk-based monitoring reviews to assess compliance with...

  • Senior Regulatory Compliance Specialist

    2 weeks ago

    Toronto, Ontario, Canada Fidelity Investments Full time

    About the RoleWe are seeking a highly skilled and experienced Senior Regulatory Compliance Specialist to join our team at Fidelity Investments Canada ULC. In this role, you will be responsible for ensuring that our company is in compliance with various regulatory requirements, including those related to securities, mutual funds, and other financial...

  • Regulatory Compliance Specialist

    1 month ago

    Toronto, Ontario, Canada beBee Professionals Full time

    Job Title: Regulatory Compliance OfficerbeBee Professionals is seeking a highly skilled Regulatory Compliance Officer to ensure the company's compliance with all applicable laws and regulations.Key Responsibilities:Monitor and analyze changes in applicable laws and regulationsDevelop and implement policies and procedures to ensure complianceProvide guidance...

  • Regulatory Compliance Specialist

    3 weeks ago

    Toronto, Ontario, Canada Scotiabank Full time

    At Scotiabank, we help our customers achieve success through a broad range of advice, products and services. We are seeking a Regulatory Compliance Specialist - Governance to contribute to the overall performance of our Global Compliance Trade Surveillance Department.About the RoleWe estimate this role's salary to be around $120,000 per year in Toronto,...

  • Regulatory Affairs Manager

    1 month ago

    Toronto, Ontario, Canada beBee Professionals Full time

    Product Compliance Specialist:BeBee Professionals is seeking a Regulatory Affairs Specialist to ensure the company's products comply with regulatory requirements. The ideal candidate will have a strong understanding of regulatory requirements and be able to interpret and apply them to the company's products.Responsibilities: Prepare and submit regulatory...

  • Regulatory Compliance Specialist

    3 weeks ago

    Toronto, Ontario, Canada Wellington-Altus Full time

    The Manager, Supervision at Wellington-Altus will be responsible for implementing and maintaining an efficient and effective system of advice, education, and supervision to ensure adherence to regulatory requirements and internal policies.Main Responsibilities:Conduct regular tier 1 supervision activities, including the review and approval of trade reports,...

  • Compliance Officer

    2 weeks ago

    Toronto, Ontario, Canada Transamerica Full time

    Job OverviewThis Compliance Officer - Regulatory Affairs Specialist role is a crucial part of our team, responsible for ensuring we maintain the highest standards of compliance and regulatory excellence.About UsWe are Transamerica, a leading global investor and employer committed to helping people live their best lives. Our company has a rich history dating...

  • Regulatory Compliance Senior Specialist

    2 weeks ago

    Toronto, Ontario, Canada Fidelity Investments Full time

    About the RoleWe are seeking a highly skilled Regulatory Compliance Senior Specialist to join our team at Fidelity Investments Canada ULC.This is a hybrid role with a mix of remote and in-office working, allowing you to maintain a healthy work-life balance while being part of a dynamic and growing organization.As a key member of the Compliance Department...

  • Regulatory Compliance Specialist

    2 weeks ago

    Toronto, Ontario, Canada destinationone Consulting Full time

    Compliance Officer Role Overviewdestinationone Consulting specializes in recruitment across various sectors including Healthcare, Health Tech, Government, Municipalities, Non-Profits, and Law. We are building a database of opportunities in these fields.This Compliance Officer role is responsible for ensuring that the company and its employees comply with...

  • Cybersecurity Expert

    2 weeks ago

    Toronto, Ontario, Canada S.i. Systèmes Full time

    About the RoleWe are seeking a highly skilled Cybersecurity Expert to join our team as a Regulatory Compliance Specialist. In this role, you will be responsible for monitoring, analyzing, and reporting on cybersecurity requirements against relevant regulations and standards.

  • Regulatory Compliance Specialist

    2 weeks ago

    Toronto, Ontario, Canada AGF Investments Full time

    About AGF InvestmentsWe are a leading independent asset management firm with a global presence.Job SummaryWe are seeking an experienced Regulatory Compliance Specialist to join our team. As a key member of our compliance department, you will be responsible for ensuring that our marketing and sales communication materials comply with regulatory...