Strategic Regulatory Compliance Lead for Wealth Management

The Successful Investor; Toronto; On-site; CAD 80,000 - 120,000; Full time

Job summary

A reputable wealth management firm in Toronto seeks a Senior Regulatory Compliance Specialist. The role involves ensuring adherence to securities laws, supporting compliance operations, and conducting audits. The ideal candidate has a relevant Bachelor's degree, at least 5 years of experience in compliance within a registered firm, and strong analytical and communication skills. This position offers a dynamic work environment and requires excellent attention to detail.

Qualifications

• Minimum 5-7 years of experience working in regulatory compliance for a CSA-registered company.
• Strong understanding of compliance frameworks and risk management principles.

Responsibilities

• Monitor and interpret OSC regulations.
• Assist with ongoing reviews of compliance framework.
• Conduct internal compliance audits and risk assessments.
• Prepare and coordinate regulatory filings and reports.
• Provide compliance training to staff.

Skills

Analytical skills

Communication skills

Attention to detail

Microsoft Excel proficiency

Regulations understanding

Education

Bachelor's degree in law, Finance, Accounting, Business, or related field

Professional Designation (Lawyer, CFA, CPA)

Canadian Securities Course (CSC)

CSI Anti Money Laundering course

Job description

A reputable wealth management firm in Toronto seeks a Senior Regulatory Compliance Specialist. The role involves ensuring adherence to securities laws, supporting compliance operations, and conducting audits. The ideal candidate has a relevant Bachelor's degree, at least 5 years of experience in compliance within a registered firm, and strong analytical and communication skills. This position offers a dynamic work environment and requires excellent attention to detail.