Regulatory Compliance Expert

1 day ago

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

S.i. Systèmes is seeking a skilled Regulatory Compliance Expert to support the implementation of regulatory requirements for a large insurance client. This 6-month role, with potential extension, will be based remotely and reports directly to the Director, Risk Governance.

Job Description

The Senior Analyst, Risk Governance will be responsible for assisting in managing the renewal of various offering documents for Global Investments and regulatory projects related to the implementation of new regulatory requirements. Additionally, this role will involve enhancing adherence to existing requirements, collecting information required for Global Investments' reporting to the Independent Review Committee, and partnering with stakeholders to update procedures, training materials, or other internal documents.

This position requires strong MS Office skills, particularly in Excel and PowerPoint, as well as experience with tools like Calculated Design, Diligent, and Litera Compare. Industry courses, such as the Canadian Securities Course, are highly desired. Functional knowledge of National Instruments 31-103, 81-101, 81-107, and the Ontario Securities Act is an asset.

Responsibilities
  • Assist with responsibilities relating to the administration of the Independent Review Committee (IRC), including information and data gathering, and follow-ups to prepare meeting materials.
  • Support the management of the annual renewal process of Global Investments' offering documents, including the Simplified Prospectus, Fund Facts, and Annual Information Form for prospectus-exempt funds.
  • Document internal reviews of applicable regulatory requirements.
  • Partner with various stakeholders to collect relevant information and update procedures, training materials, or other internal documents.
  • Assist with responsibilities related to Business Continuity Planning.

This is a fantastic opportunity for a Regulatory Compliance Expert to make a significant impact on a large insurance client's regulatory requirements. If you have 3+ years of experience in a legal, compliance, and/or risk governance background, we encourage you to apply.

  • Regulatory Compliance Expert

    4 weeks ago

    Toronto, Ontario, Canada mccainfood Full time

    About the RoleWe are seeking a highly skilled Regulatory Compliance Expert to join our team at McCain Foods. This is a full-time position located in Toronto HQ or Florenceville-Bristol, New Brunswick, Canada.Job Summary:The Regulatory Compliance Expert will be responsible for ensuring regulatory compliance of our products in the Canadian market. This...

  • Trade Compliance Specialist

    4 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 Expert

    4 weeks ago

    Toronto, Ontario, Canada Exchange Bank of Canada Full time

    Job Title: Regulatory Compliance ExpertAbout Exchange Bank of CanadaExchange Bank of Canada is a Schedule 1 bank headquartered in Toronto, Canada. The bank provides wholesale foreign exchange services and international payment solutions to financial institutions and corporations.Salary: $90,000 - $120,000 per year, depending on experience.Job Description:We...

  • Regulatory Compliance Expert

    7 days ago

    Toronto, Ontario, Canada PearTree Canada Full time

    Job SummaryWe are seeking a highly skilled Regulatory Compliance Expert to join our team at PearTree Canada.About the RoleThe successful candidate will be responsible for maintaining and updating new client account application and KYC forms as required, preparing trade approval forms for compliance sign-off, and liaising with Client Service and Business...

  • Compliance Expert

    4 weeks ago

    Toronto, Ontario, Canada Momentum Financial Services Group_new Full time

    About Momentum Financial Services GroupMomentum Financial Services Group is a leading financial services organization committed to delivering exceptional services to its clients. With a strong focus on regulatory compliance, we are seeking a highly skilled Compliance Expert to join our team.Job SummaryWe are looking for a seasoned Compliance Expert to...

  • Compliance Expert

    1 week ago

    Toronto, Ontario, Canada Options Consulting Solutions Full time $120,000

    Job Title: Compliance Expert - Regulatory OversightAbout the Role:This is a senior compliance role with our client, an investment firm based in downtown Toronto. As a key member of their team, you will be responsible for overseeing the firm's regulatory and internal compliance programs, focusing on market conduct review, trade conduct, and Universal Market...

  • Compliance Expert for Regulatory Affairs

    4 weeks ago

    Toronto, Ontario, Canada The Toronto-Dominion Bank (Canada) Full time

    About the JobAs a Senior Compliance Business Oversight Officer at The Toronto-Dominion Bank (Canada), you will be a key member of our Canadian Banking Compliance team. Your primary responsibility will be to provide guidance, oversight, and expertise to our businesses on regulatory requirements and controls.This role is ideal for an individual with excellent...

  • Regulatory Compliance Expert

    4 weeks ago

    Toronto, Ontario, Canada Options Consulting Solutions Full time

    About the JobWe are seeking a highly skilled Regulatory Compliance Expert to join our team in downtown Toronto. As a key member of our compliance department, you will play a critical role in ensuring that our firm's operations comply with relevant securities laws, industry regulations, and financial standards.Key Responsibilities:Conduct regular audits and...

  • Financial Regulatory Compliance Expert

    2 days ago

    Toronto, Ontario, Canada Royal Bank of Canada Full time

    Job Overview:Royal Bank of Canada (RBC) is seeking a highly skilled Financial Regulatory Compliance Expert to join our Enterprise Risk, Regulatory Capital Governance & Oversight team. This key role will play a crucial part in the efficient management and coordination of RBC's annual Self-Assessment Process (SAP).About the Role:The successful candidate will...

  • Regulatory Compliance Expert

    1 week ago

    Toronto, Ontario, Canada Beacon Legal Full time

    About the RoleWe are seeking a highly skilled Regulatory Compliance Expert to join our team in Bermuda. The successful candidate will have the opportunity to work on a wide range of financial regulation matters, including advising clients on the regulation of cross-border financial transactions.Key ResponsibilitiesDevelop an in-depth knowledge of regulatory...

  • Cybersecurity Expert

    4 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 Expert, Financial Services

    4 weeks ago

    Toronto, Ontario, Canada PearTree Canada Full time

    About the RoleWe are seeking a highly skilled Regulatory Compliance Expert to join our team at PearTree Canada. As a key member of our compliance function, you will play a crucial role in ensuring that our business operations and transactions adhere to all relevant legal and internal rules.The successful candidate will be responsible for assisting with the...

  • Compliance Regulatory Expert

    4 weeks ago

    Toronto, Ontario, Canada CI Financial Full time

    Job DescriptionAt CI Financial, we offer a unique work environment that values employee growth and development.Job OverviewThis role is part of the Enterprise Compliance Team, responsible for developing, enhancing, and maintaining our Enterprise Compliance programs. Key responsibilities include reporting, data analysis, regulatory compliance management, and...

  • Regulatory Compliance Manager

    4 weeks ago

    Toronto, Ontario, Canada Fidelity Investments Full time

    About the RoleThis is a hybrid role with a mix of remote and in-office working. At Fidelity, we've been helping Canadian investors build better financial futures for over 35 years. We offer individuals and institutions a range of trusted investment portfolios and services - and we're constantly seeking new and better ways to help our clients.Job...

  • Compliance Officer

    6 days ago

    Toronto, Ontario, Canada Options Consulting Solutions Full time $120,000

    About Options Consulting SolutionsWe are a dynamic investment firm with a strong commitment to regulatory compliance and exceptional client service.Job DescriptionThe Compliance Officer will oversee the firm's regulatory programs, ensuring all operations comply with applicable laws, regulations, and internal policies. This includes market conduct review,...

  • Compliance Expert with Regulatory Focus

    5 days ago

    Toronto, Ontario, Canada PearTree Canada Full time

    About the RolePearTree Canada is seeking a Senior Regulatory Affairs Associate to join our team. This exciting opportunity allows you to work in a dynamic environment where you can make a real impact.Job DescriptionThe Senior Regulatory Affairs Associate will be responsible for ensuring that our business operations and transactions follow all relevant legal...

  • Regulatory Licensing Specialist

    4 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...

  • Compliance Officer

    1 week ago

    Toronto, Ontario, Canada Options Consulting Solutions Full time

    About the JobWe are seeking a seasoned Compliance Officer to oversee our firm's regulatory and internal compliance programs, ensuring seamless alignment with market conduct review, trade conduct, and universal market integrity rules (UMIR). Key responsibilities include monitoring operations, transactions, and client interactions for compliance with...

  • Regulatory Compliance Expert

    4 weeks ago

    Toronto, Ontario, Canada Scotiabank Full time

    Job Summary:This is a senior leadership position within the Regulatory Operations & Controls Department at Scotiabank. The successful candidate will be responsible for ensuring the bank's regulatory compliance programs are aligned with industry best practices and regulatory requirements.About Scotiabank:Scotiabank is one of Canada's leading banks, committed...

  • Regulatory Compliance Expert

    2 weeks ago

    Toronto, Ontario, Canada EQ Bank | Equitable Bank Full time

    Job Summary: EQ Bank | Equitable Bank seeks a highly experienced Regulatory Compliance Expert to lead our mortgage and consumer lending compliance efforts. As a key member of our team, you will be responsible for ensuring the bank's products and services comply with regulatory requirements and industry standards.About the Role:This is a senior role that...