Compliance Officer

1 week 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 oversee the firm’s regulatory and internal compliance programs, with a key focus on market conduct review, trade conduct, and universal market integrity rules (UMIR). You will ensure that all operations, transactions, and client interactions comply with applicable laws, regulations, and internal policies. Collaborating with various departments, you will 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 IIROC, OSC, CSA, and other governing bodies.
  • 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.


What you bring to the job

  • 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.
  • Excellent analytical and problem-solving skills with keen attention to detail.
  • Proven ability to assess complex regulatory frameworks and deliver practical, business-aligned solutions.
  • Experience in securities and trading environments is an asset.
  • Exceptional communication and interpersonal skills for collaboration across departments and with regulatory bodies.



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.

  • Compliance Officer

    5 months ago

    Toronto, Canada Questrade Financial Group Full time

    Questrade Financial Group (QFG) of Companies is committed to helping our customers become much more financially successful and secure. We are everything a traditional financial institution is not. At QFG, you will be constantly moving forward, bringing the future of fintech into existence. You will be a part of a collaborative team that cares deeply about...

  • Compliance Officer

    6 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...

  • Compliance Officer

    6 months ago

    Toronto, Canada Iceberg Finance Group Full time

    **Company Overview**: iFinance Canada is a well-established national consumer financing company that offers various financing to Canadians since 1996. We are part of Iceberg Finance Group, a sister company based in Quebec that also does business across Canada. We are a dynamic, rapidly growing organization currently recruiting for a meticulous and...

  • Compliance Officer

    6 months ago

    Toronto, Canada Enable Full time

    **Job Summary** As a **Compliance Officer **you will be responsible for helping Enable deliver on its quality management programme to meet external regulatory and statutory requirements and internal policies and procedures as part of the Sourcing, Risk & Compliance function. Your role is key in helping Enable’s departments understand their requirements...

  • Compliance Officer

    2 months ago

    Toronto, Canada CIRO Full time

    **Position Title: Compliance Officer** **Department: Business Conduct Compliance** **Region: Toronto** **Status: Permanent Full-time (Hybrid)** **Day in the life of**: 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...

  • Compliance Officer

    4 weeks ago

    Toronto, Canada Professional Engineers Ontario Full time

    Reporting to the Manager, Professional Development Initiatives, the PEAK Compliance Officer will be responsible for administering compliance measures for the Practice Evaluation and Knowledge (PEAK) program. The PEAK Continuing Professional Education program applies to PEO’s 90,000 practitioners and is administered by staff of the PEAK Program Office...

  • Compliance Officer

    4 weeks ago

    Toronto, Canada Professional Engineers Ontario Full time

    Reporting to the Manager, Professional Development Initiatives, the PEAK Compliance Officer will be responsible for administering compliance measures for the Practice Evaluation and Knowledge (PEAK) program. The PEAK Continuing Professional Education program applies to PEO’s 90,000 practitioners and is administered by staff of the PEAK Program Office...

  • Compliance Officer

    4 weeks ago

    Toronto, Canada Professional Engineers Ontario Full time

    Reporting to the Manager, Professional Development Initiatives, the PEAK Compliance Officer will be responsible for administering compliance measures for the Practice Evaluation and Knowledge (PEAK) program. The PEAK Continuing Professional Education program applies to PEO’s 90,000 practitioners and is administered by staff of the PEAK Program Office...

  • Compliance Officer

    6 days ago

    Toronto, Canada Options Consulting Solutions Full time

    About the jobCOMPLIANCE OFFICERFULL-TIMEDOWNTOWN TORONTO, ONSalary up to $120KAs the Compliance Officer, you will oversee the firm’s regulatory and internal compliance programs, with a key focus on market conduct review, trade conduct, and universal market integrity rules (UMIR). You will ensure that all operations, transactions, and client interactions...

  • Compliance Officer

    1 week 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 oversee the firm’s regulatory and internal compliance programs, with a key focus on market conduct review, trade conduct, and universal market integrity rules (UMIR). You will ensure that all operations, transactions, and client...

  • Compliance Officer

    2 months ago

    Toronto, Ontario, Canada beBee Professionals Full time $45,000 - $60,000

    We are seeking a Compliance Officer to join our finance team at beBee Professionals in Toronto. In this role, you will be responsible for maintaining accurate financial records, handling accounts payable and receivable, and ensuring the integrity of our accounting practices.Key Responsibilities:Manage and maintain financial records, including ledgers,...

  • Compliance Officer

    2 months ago

    Toronto, Canada Purves Redmond Limited Full time

    **Overview** We are seeking a Compliance Officer to join the Purves Redmond Limited team. In this role, you will act as a trusted advisor to colleagues and senior leadership on a wide range of risk and compliance matters. You will play a critical role in ensuring adherence to insurance legislation and promoting a culture of compliance across the...

  • Compliance Analyst/Officer

    6 months ago

    Toronto, Canada CB Canada Full time

    Compliance Analyst/Officer On behalf of our client in the Banking Sector, PROCOM is looking for a Compliance Analyst/Officer. Compliance Analyst/Officer – Job Description The Global Compliance Department is responsible for overseeing Regulatory Compliance across enterprise in accordance with the Global Compliance Framework This includes ensuring that...

  • Compliance Officer

    3 months ago

    Toronto, Canada destinationone Consulting Full time

    destinationone Consultingspecializes in recruitment across various sectors includingHealthcare Health Tech Government Municipalities NonProfits Legaland more. We are proactively building a data bank for opportunitiesin these fields. By applying you ensure our recruiters can quicklymatch you with suitable roles when theyarise.Location:Variouslocations...

  • Compliance Officer

    1 week ago

    Toronto, ON, 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 oversee the firm’s regulatory and internal compliance programs, with a key focus on market conduct review, trade conduct, and universal market integrity rules (UMIR). You will ensure that all operations, transactions, and client...

  • Compliance Officer

    1 week ago

    Toronto, Ontario, Ontario, Canada Options Consulting Solutions Full time

    About the jobCOMPLIANCE OFFICERFULL-TIMEDOWNTOWN TORONTO, ONSalary up to $120KAs the Compliance Officer, you will oversee the firm’s regulatory and internal compliance programs, with a key focus on market conduct review, trade conduct, and universal market integrity rules (UMIR). You will ensure that all operations, transactions, and client interactions...

  • Compliance Officer

    1 week ago

    Toronto, ON, Canada Options Consulting Solutions Full time €120,000

    About the job COMPLIANCE OFFICER FULL-TIME DOWNTOWN TORONTO, ON Salary up to $120K As the Compliance Officer , you will oversee the firm’s regulatory and internal compliance programs, with a key focus on market conduct review, trade conduct, and universal market integrity rules (UMIR). You will ensure that all operations, transactions, and client...

  • Business Compliance Officer

    6 months ago

    Toronto, Canada PC Financial Full time

    **All referred applicants must first be submitted through Workday by a current Loblaw Colleague.** **Location**: 500 Lakeshore Blvd. West, Toronto, Ontario, M5V 2V9 **When you hire great people, great things can happen.** PC Financial offers unprecedented value to Canadians through payment products. We’re a different kind of bank with a different type...

  • Screening Compliance Officer

    4 weeks ago

    Toronto, Ontario, Canada Mintz Global Screening Full time

    Job Title: Screening Compliance OfficerA rewarding opportunity awaits an organized and detail-oriented individual to join our team at Mintz Global Screening as a Screening Compliance Officer.About Us:Mintz Global Screening is a leading provider of background check services, committed to delivering exceptional results while ensuring the highest standards of...

  • Security and Compliance Officer

    4 weeks ago

    Toronto, Ontario, Canada Healthcare Insurance Reciprocal of Canada (HIROC) Full time

    Job DescriptionThis role is a fantastic opportunity to join Healthcare Insurance Reciprocal of Canada (HIROC) as a key member of our team, working closely with the Lead, Privacy and Compliance Officer. The successful candidate will have excellent technical skills, a passion for corporate security, analysis, and problem-solving.About the JobThe Security and...