Regulatory Compliance Expert for Investment Firm

6 days ago

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

Job Description:

We are seeking a seasoned Compliance Specialist to join our team at Options Consulting Solutions in downtown Toronto. This is a unique opportunity to take on a leadership role in ensuring the firm's operations comply with relevant securities laws, industry regulations, and financial standards.

Responsibilities:

  • Conduct detailed market conduct reviews, including assessments of trade practices and compliance with Universal Market Integrity Rules (UMIR).
  • Monitor and analyze trading activities to identify potential regulatory violations or market abuse, escalating concerns as needed.
  • Review trading patterns, transaction reports, and internal controls to ensure adherence to trade conduct standards.
  • Conduct regular audits and compliance checks to identify and address areas of risk or non-compliance.
  • Monitor regulatory changes and communicate updates to internal stakeholders, ensuring timely adjustments to policies and procedures.
  • Implement and maintain the firm's risk management framework, ensuring all risks are identified, assessed, and appropriately mitigated.
  • 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, internal compliance protocols, and ethical trading practices.
  • Prepare and submit mandatory regulatory reports to authorities, including compliance certifications, filings, and transaction reports.
  • Advise senior management, portfolio managers, and traders on regulatory issues impacting business strategies and decisions.
  • Provide compliance expertise to business development initiatives, ensuring new services or products meet regulatory requirements.

Requirements:

  • A minimum of 6 years of compliance leadership experience within the securities, investment, or financial services industry.
  • Strong expertise in market conduct review, trade conduct, and UMIR.
  • In-depth understanding of securities regulations, including IIROC, OSC, CSA, and other regulatory frameworks.
  • Proven ability to assess complex regulatory frameworks and deliver practical, business-aligned solutions.
  • Exceptional communication and interpersonal skills for collaboration across departments and with regulatory bodies.

Salary: $120,000 - $150,000 per year, depending on experience.

About Us: We are a reputable consulting firm committed to delivering exceptional service to our clients. If you are a proactive and goal-driven professional looking to advance your career, this could be the perfect opportunity for you.

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