Senior Compliance Officer

6 days ago

Toronto, Canada Options Consulting Solutions Full time

About the job


COMPLIANCE OFFICER

FULL-TIME

DOWNTOWN TORONTO, ON

Salary up to $120K


As the Compliance Officer, you will be responsible for overseeing the firm’s regulatory and internal compliance programs, ensuring that all operations, transactions, and client interactions comply with applicable laws, regulations, and internal policies. You will collaborate with various departments to provide guidance, implement compliance protocols, and monitor activities that may pose potential compliance risks.


The Company

Our client is an investment firm with a history of skillfully navigating the market and providing clients with exceptional service. If you are a proactive and goal-driven tax professional looking to make your mark and further your career with a strong team, this could be the next step for you


Company Perks and Rewards

  • Competitive compensation and bonus
  • Extensive health benefits package
  • An exciting, fast-paced environment
  • Office located in downtown Toronto
  • And more



The Job

  • Ensure the firm's operations comply with relevant securities laws, industry regulations, and financial standards, including those established by IIROC, OSC, CSA, and other governing bodies.
  • Conduct regular audits and compliance checks to identify areas of risk or non-compliance.
  • Monitor changes in relevant regulations and communicate updates to internal stakeholders.
  • Implement and maintain the firm’s risk management framework, ensuring all risks are identified, assessed, and appropriately mitigated.
  • Review and analyze internal controls, policies, and procedures to identify weaknesses and recommend improvements.
  • Prepare and submit mandatory regulatory reports to authorities, including compliance certifications, filings, and transaction reports.
  • 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 and internal compliance protocols.
  • Review and monitor the firm’s trading activities, ensuring all transactions comply with regulatory and internal policies.
  • Advise senior management, portfolio managers, and traders on regulatory issues affecting business strategies and decisions.
  • Respond to inquiries from clients, regulators, and internal departments on compliance-related matters.
  • Provide compliance expertise to business development initiatives, ensuring new services or products meet regulatory requirements.


What you bring to the job

  • 6+ years of compliance leadership experience within the securities, investment, or financial services industry.
  • Strong understanding of securities regulations, including IIROC, OSC, CSA, and other regulatory bodies.
  • Excellent analytical skills with strong attention to detail.
  • Ability to assess complex regulatory frameworks and provide practical solutions.
  • Experience within a securities environment is a plus.



Qualified job seekers are asked to apply with attention to Ashley Richardson.


I really look forward to hearing from you, but please understand that I will only be contacting those that are applicable for the role


Options Consulting Solutions is an equal opportunity employer and welcomes applications from all individuals. Applicants selected for an in-person interview will be asked whether specific accommodations are needed to support a personal disability.


You can also find more jobs that may be suited to you on the Options Consulting Solutions Indeed and LinkedIn pages. Follow us on Instagram, Twitter and Facebook for job searching tips and other updates.

  • Senior Compliance Officer

    1 month ago

    Toronto, Ontario, Canada CI Financial Full time

    Job Title: Senior Compliance OfficerAt CI Financial, we're committed to creating a workplace that's inclusive, empowering, and inspiring. As a Senior Compliance Officer, you'll play a critical role in fostering a culture of compliance within our organization, ensuring we meet the highest standards of regulatory requirements.Key Responsibilities:Provide...

  • Senior Compliance Officer

    1 month ago

    Toronto, Ontario, Canada Futran Tech Solutions Pvt. Ltd. Full time

    Senior KYC OfficerFutran Tech Solutions Pvt. Ltd. is seeking a highly skilled Senior KYC Officer to join our team.Key Responsibilities:Ensure the accuracy and completeness of all data, documents, and information collected as part of the due diligence process.Conduct thorough risk assessments and develop effective mitigation strategies to prevent money...

  • Senior Compliance Officer

    4 weeks ago

    Toronto, Ontario, Canada CI Financial Full time

    At CI Financial, we are seeking a Senior Compliance Officer to foster a culture of compliance within our organization. This role involves assisting Compliance management with policy and procedures, compliance technology, and regulatory initiatives.Key Responsibilities:Provide strategic support to the Director, Compliance and Senior Management on...

  • Senior Compliance Officer

    5 months ago

    Toronto, Canada CI Financial Full time

    JOB OVERVIEWWe are currently seeking a Senior Compliance Officer, CI Wealth Compliance. In this role, the successful candidate is expected to encourage and foster a culture of compliance within the organization in accordance with securities industry rules and regulations. The incumbent will be responsible for assisting Compliance management with policy and...

  • Senior Compliance Officer

    5 months ago

    Toronto, Canada CI Financial Full time

    JOB OVERVIEW We are currently seeking a Senior Compliance Officer, CI Wealth Compliance. In this role, the successful candidate is expected to encourage and foster a culture of compliance within the organization in accordance with securities industry rules and regulations. The incumbent will be responsible for assisting Compliance management with policy and...

  • Senior Compliance Officer

    5 months ago

    Toronto, Canada CI Financial Full time

    JOB OVERVIEWWe are currently seeking a Senior Compliance Officer, CI Wealth Compliance. In this role, the successful candidate is expected to encourage and foster a culture of compliance within the organization in accordance with securities industry rules and regulations. The incumbent will be responsible for assisting Compliance management with policy and...

  • Senior Compliance Officer

    5 months ago

    Toronto, Canada CI Financial Full time

    JOB OVERVIEWWe are currently seeking a Senior Compliance Officer, CI Wealth Compliance. In this role, the successful candidate is expected to encourage and foster a culture of compliance within the organization in accordance with securities industry rules and regulations. The incumbent will be responsible for assisting Compliance management with policy and...

  • Compliance Officer

    2 weeks ago

    Toronto, Canada Osiris Concepts Full time

    We are working alongside one of our clients to help them find a Compliance Officer. They are a growing international e-wallet and payment services provider, is looking for a leading Compliance Officer for its Canadian office, based in Toronto, to provide effective leadership and continued development to ensure its business processes and procedures adhere to...

  • Senior Compliance Officer

    5 months ago

    Toronto, Ontario, Ontario, Canada CI Financial Full time

    JOB OVERVIEWWe are currently seeking a Senior Compliance Officer, CI Wealth Compliance. In this role, the successful candidate is expected to encourage and foster a culture of compliance within the organization in accordance with securities industry rules and regulations. The incumbent will be responsible for assisting Compliance management with policy and...

  • Senior Compliance Officer

    4 weeks ago

    Toronto, Ontario, Canada Wellington-Altus Full time

    Job Summary:The Senior Compliance Officer will be responsible for implementing an efficient and effective program of advice, education, and supervision for Wellington-Altus Private Wealth to ensure the firm and its registrants continue to adhere to all regulatory requirements and internal policies and procedures.Key Responsibilities:Conducting tier 1...

  • Senior Compliance Officer

    6 months ago

    Toronto, Canada CI Financial Full time

    At CI, we see a great place to work as one that is a safe place for everyone to have a voice, where people are empowered to take ownership over meaningful work, where there is an opportunity to grow through stretching themselves, where they can work on innovative products and projects, and where employees are supported and engaged in doing so.  JOB...

  • Senior Compliance Officer, Programs

    1 month ago

    Toronto, Ontario, Canada Scotiabank Full time

    Job SummaryScotiabank is seeking a Senior Compliance Officer to contribute to the overall success of the Global Banking & Markets and Treasury Compliance Canada Program.Key ResponsibilitiesWork closely with the Compliance team to develop and implement compliance strategies and programs.Contribute to the design and implementation of compliance training...

  • Compliance Officer

    4 weeks ago

    Toronto, Ontario, Ontario, Canada Angular Directions Full time

    We are working alongside one of our clients to help them find a Compliance Officer. They are a growing international e-wallet and payment services provider, is looking for a leading Compliance Officer for its Canadian office, based in Toronto, to provide effective leadership and continued development to ensure its business processes and procedures adhere to...

  • Senior Compliance Officer

    4 weeks ago

    Toronto, Ontario, Canada Scotiabank Full time

    Job Title: Senior Compliance Analyst, PayrollJob Summary:As a Senior Compliance Analyst, Payroll at Scotiabank, you will play a critical role in supporting Payroll compliance projects and initiatives to ensure data accuracy and efficiency within SAP. This position requires a highly motivated individual with a strong understanding of Payroll compliance...

  • Senior Compliance Officer

    4 weeks ago

    Old Toronto, Ontario, Canada iA Financial Group Full time

    Job Summary:As a Senior Compliance Officer at iA Financial Group, you will play a key role in ensuring the company's compliance policies and procedures are maintained at each office. Your responsibilities will include reviewing and approving new account openings, ensuring compliance with suitability requirements, and providing training and education to the...

  • Compliance Officer

    1 month ago

    Toronto, Ontario, Canada CB Canada Full time

    Job Title: Compliance Analyst/OfficerCB Canada is seeking a highly skilled Compliance Analyst/Officer to join our team in Toronto, ON. As a key member of our Canadian Banking Compliance team, you will be responsible for providing guidance, oversight, and expertise to our businesses on regulatory requirements and controls.Key Responsibilities:Provide subject...

  • Senior Compliance Officer

    5 days ago

    Toronto, Canada Options Consulting Solutions Full time

    About the job COMPLIANCE OFFICER FULL-TIME DOWNTOWN TORONTO, ON Salary up to $120K As the Compliance Officer , you will be responsible for overseeing the firm’s regulatory and internal compliance programs, ensuring that all operations, transactions, and client interactions comply with applicable laws, regulations, and internal policies. You will...

  • Senior Compliance Officer, Programs

    2 months ago

    Toronto, Canada Scotiabank Full time

    Requisition ID: 207182Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.Purpose Contributes to the overall success of the Global Banking & Markets and Treasury ("GBM&T") Compliance Canada Program. The Senior Compliance Officer will work closely wit

  • Senior Compliance Officer, Branch Audit

    4 weeks ago

    Toronto, Ontario, Canada CI Financial Full time

    At CI Financial, we're committed to creating a workplace where everyone feels valued and empowered to contribute. As a Senior Compliance Officer, Branch Audit, you'll play a critical role in ensuring our branches operate in compliance with regulatory requirements.Key ResponsibilitiesConduct thorough branch audits to identify and address compliance...

  • Compliance Officer

    5 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...