Strategic Compliance Officer – Canada Regulatory & Risk

UBS; Toronto; On-site; CAD 95,000 - 115,000; Full time

Job summary

UBS is seeking a Senior Compliance professional in Toronto to support the Canada Compliance team. You will partner with legal, risk, and IT to ensure policies meet local regulatory requirements and assist with exams and regulator interactions.

Role emphasizes daily trade surveillance, policy drafting, and training, with collaboration across regional and global committees. Strong knowledge of CIRO/OSC rules and UMIR is essential.

Qualifications

• Minimum 5 years in institutional compliance, legal, or risk control.
• Experience with Canadian regulators such as CIRO and OSC.
• Strong knowledge of Canadian securities laws including UMIR.
• Ability to drive change and uphold industry standards.
• Ability to synthesize information from multiple sources and collaborate to strengthen risk control.
• Experience leveraging data analytics and technology.
• Adaptable to a changing regulatory landscape.

Responsibilities

• Partner with legal counsel to align policies with local regulations.
• Liaise with senior management and compliance, legal, risk, and IT for guidance.
• Participate in global, regional, and cross-product committees.
• Draft and publish policies and maintain a local compliance training program.
• Monitor daily trading activities and conduct trade surveillance.
• Identify, investigate, and escalate potential regulatory breaches.
• Assist with regulatory exams and regulator interactions.
• Provide strategic direction on CORC deliverables.

Skills

Institutional compliance

CIRO regulators

UMIR knowledge

Securities laws

Data analytics

Regulatory landscape

Change management

Job description

UBS is seeking a Senior Compliance professional in Toronto to support the Canada Compliance team. You will partner with legal, risk, and IT to ensure policies meet local regulatory requirements and assist with exams and regulator interactions.

Role emphasizes daily trade surveillance, policy drafting, and training, with collaboration across regional and global committees. Strong knowledge of CIRO/OSC rules and UMIR is essential.