Compliance Lead for Regulatory Excellence

5 days ago


Toronto, Ontario, Canada Options Consulting Solutions Full time

About the Role

We are seeking a seasoned Compliance Officer to oversee our firm's regulatory and internal compliance programs. With a focus on market conduct review, trade conduct, and Universal Market Integrity Rules (UMIR), you will ensure all operations comply with applicable laws and regulations.

The Company Overview

Our client is an investment firm with a proven track record of navigating complex markets. As a key member of our team, you will contribute to delivering exceptional service to clients while maintaining the highest standards of compliance.

Salary & Benefits

This role offers a competitive salary of up to $120,000 per annum, comprehensive health benefits, and a dynamic work environment in downtown Toronto. Our team is passionate about fostering a culture of innovation and collaboration.

Key Responsibilities

  • Ensure adherence to relevant securities laws, industry regulations, and financial standards, including IIROC, OSC, CSA, and other governing bodies.
  • Conduct thorough market conduct reviews, assessing trade practices and compliance with UMIR.
  • Monitor trading activities to identify potential regulatory violations or market abuse, escalating concerns as necessary.
  • Review transaction reports and internal controls to guarantee adherence to trade conduct standards.
  • Implement and maintain a risk management framework to identify, assess, and mitigate risks effectively.
  • Collaborate with various departments to provide guidance on regulatory requirements and internal compliance protocols.
  • Prepare and submit mandatory regulatory reports to authorities, including compliance certifications, filings, and transaction reports.

Requirements & Qualifications

  • At least 6 years of experience in compliance leadership 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.
  • Excellent analytical and problem-solving skills with keen attention to detail.
  • Proven ability to assess complex regulatory frameworks and deliver practical solutions.

What We Offer

As a valued member of our team, you can expect a stimulating work environment, opportunities for growth and development, and a collaborative atmosphere that fosters innovation and excellence.



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