Markham, On Regulatory compliance specialist Jobs – 318 Openings This Week

Regulatory Compliance Specialist
The Successful Investor —North York, ON
- Full-time
- Hybrid work
- Microsoft Excel
- English
- Finance
- Dental care
Quick apply
Compliance Specialist, AML
IVARI —Toronto, ON
- $70,000–$90,000 a year
- Full-time
- Research
- Organizational skills
- SharePoint
- Dental care
Quick apply
1d
Sr. Electromagnetic Compatibility (EMC) Engineer
GAL AeroStaff —Toronto, ON
- $100,000–$120,000 a year
- Immediate opening
- Engineering
- In-person
- Manufacturing
- Disability insurance
- Dental care
Quick apply
Quality Engineering Specialist
Amphenol Canada Corp. —Markham, ON
- $70,000–$85,000 a year
- Full-time
- Engineering
- Microsoft Office
- Assembly
- Designated paid holidays
- Disability insurance
Quick apply
11d
Export Control Specialist
Bittele Electronics Inc. —Markham, ON
- $70,000–$100,000 a year
- Full-time
- In-person
- Communication skills
- Mileage reimbursement
Quick apply
1d
EMAR/Kroll Solutions Specialist
Boggio Family of Pharmacies —North York, ON
- $30–$40 an hour
- Immediate opening
- Nursing
- Medication administration
- Analysis skills
- Dental care
- Flexible schedule
Quick apply
Medical Clinic Manager
West Hill Medical Centre —Toronto, ON
- Full-time
- Management
- Medical office experience
- English
- Paid time off
Quick apply
11d
Total Rewards Specialist
Drake International Inc —Toronto, ON
- $43.77–$54.64 an hour
- Monday to Friday
- Finance
- Project management
- Human resources
- Flexible schedule
Quick apply
Quality & Compliance Team Lead
Safran Landing Systems Canada Inc. —Ajax, ON
- $90,500–$113,000 a year
- Full-time
- Engineering
- Analysis skills
- Bachelor's
Quick apply
1d
QUALITY INSPECTOR - FAI
LHM Technologies Inc. —Vaughan, ON
- $26–$33 an hour
- Full-time
- In-person
- Manufacturing
- Wellness program
- Disability insurance
Quick apply
Business Operations Specialist, Back Office
IVARI —Toronto, ON
- $68,000–$91,500 a year
- Full-time
- Microsoft Word
- Microsoft Excel
- Microsoft Outlook
- Dental care
Quick apply
Promotions & Merchandising Manager
VGW Canada —Toronto, ON
- $113,000–$126,500 a year
- Hybrid work
- Analysis skills
- Team management
- Budgeting
Quick apply
Director of Pharmacy Operations
Whole Health Pharmacy —Greater Toronto Area, ON
- $130,000–$140,000 a year
- Full-time
- Medication administration
- Travel
- Budgeting
- Mileage reimbursement
Quick apply
Infusion Program Lead Pharmacist
Whole Health Pharmacy —Greater Toronto Area, ON
- $100,000 a year
- Full-time
- Medication administration
- Doctoral degree
- Travel
- Dental care
Quick apply
Supervisor, Investor Relations – Hedge Funds
Citco —Toronto, ON
- $74,000–$86,000 a year
- Full-time
- Microsoft Outlook
- Microsoft Office
- Accounting
Senior Business Systems Specialist
IVARI —Toronto, ON
- $98,000–$135,000 a year
- Azure
- SQL
- Presentation skills
- Dental care
Quick apply
1d
Financial Analyst (12 Month Contract/Acting)
Toyota —Scarborough, ON
- $79,400–$104,300 a year
- Full-time
- Hybrid work
- Microsoft Excel
- ERP systems
- Finance
- Dental care
- Paid time off
Commercial Revenue & Lease Specialist
Sterling Karamar Property Management —Toronto, ON
- $70,000–$80,000 a year
- Full-time
- Microsoft Excel
- Finance
- Analysis skills
Quick apply
1d
Leasing Specialist
Menkes Developments Ltd. —Toronto, ON
- $50,000–$59,000 a year
- Weekends as needed
- In-person
- Communication skills
- Disability insurance
- Dental care
Quick apply
1d
Manager, Investor Relations - Private Assets
Citco —Toronto, ON
- $90,000–$110,000 a year
- Full-time
- CAD
- Microsoft Office
- Finance

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regulatory compliance specialist jobs near markham, on

Regulatory Compliance Specialist

The Successful Investor
North York, ON

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Job details

Full-time

Qualifications

Microsoft Excel
Law
Financial auditing
English
Finance
Chartered Professional Accountant
Bachelor's
Organizational skills
CSC
Business
Chartered Financial Analyst
Accounting
Communication skills
Time management

Full job description

REGULATORY COMPLIANCE SPECIALIST, Successful Investor Wealth Management Inc.

We are an established wealth management firm with 20+ years’ experience in independent portfolio management with assets under management of $1 billion and growing. We are transforming our business and experiencing significant growth, and as a result, we are looking for development-oriented individuals to join our organization.

As a registered firm under the Ontario Securities Commission (OSC), we prioritize integrity, fiduciary responsibility, and regulatory excellence. We are currently seeking a Regulatory Compliance Specialist to work alongside our CCO to help ensure our continued adherence to securities laws and regulatory best practices in a dynamic, client-focused environment. We are looking for a candidate committed to the area of compliance, seeking to advance their experience within the wealth management landscape and grow their responsibilities long term.

The Regulatory Compliance Specialist plays a critical role in maintaining our firm’s compliance with applicable regulations and governing bodies, including those under the Ontario Securities Act, FINTRAC, CRA and OSC guidelines. This role will support our Chief Compliance Officer in managing day-to-day compliance operations, implementing compliance programs, and preparing for regulatory reviews and audits. In addition to primarily supporting compliance efforts, this role will also gain broad exposure to overall wealth management operations while participating in trade support and other administrative functions.

KEY RESPONSIBILITIES

Regulatory Compliance & Monitoring

Monitor, interpret, and implement changes in OSC regulations, securities legislation, and other applicable rules, including FINTRAC and AML.
Assist with ongoing review and enhancement of SIWM’s compliance framework, policies, and internal controls.
Conduct periodic and ad-hoc internal compliance audits and risk assessments across relevant business activities; provide annual updates to the board as required.
Support the maintenance of an effective compliance calendar to ensure all reporting and requirements are completed as required, within prescribed timelines.
Support with investigating and responding to any client complaints or concerns pertaining to portfolio management activities.

Registration & Reporting

Assist with the preparation and coordination of regulatory filings, reporting, surveys, and audits.
Manage ongoing compliance with Know-Your-Client (KYC), suitability, and client documentation obligations.

Internal Advisory & Training

Serve as a subject matter expert for staff on regulatory issues, suitability, conflicts of interest, and other compliance matters.
Provide compliance training and guidance to management, portfolio managers, and operational staff.
Review all external communications, i.e., marketing material and investor communications, for regulatory compliance.

Audit & Examination Support

Coordinate with internal and external auditors for compliance reviews.
Prepare documentation and responses for OSC, FINTRAC, and CRA Pooled Fund Audits, compliance reviews, and regulatory inquiries.
Act as the secondary contact person for OSC, FINTRAC, and CRA Pooled Funds audits.

Trading – Execution, Management, and Reconciliation

Execution of stock trades on behalf of the firm and its clients.
Monitor trade activity to ensure compliance with regulatory and internal guidelines.
Track order status for trade confirmations and settlements; Resolve issues such as failed trades or mismatches.
Log FX conversions and reconcile trades at the end of the day to ensure accuracy.
Generate and distribute trading reports to internal stakeholders and clients.
Investigate and resolve trade breaks or discrepancies.
Additional ad-hoc trade-related requests as required.

Other

Help optimize operational workflows and reduce manual errors within the scope
of the role.
Provide administrative support in other areas of Wealth Management as qualified and able, including Portfolio Management, Fund Accounting, and Client Services.

REQUIREMENTS (Qualifications, Experience & Skills)

Required:

Bachelor’s degree in law, Finance/Accounting, Business, or related field.
A CFA or CPA designation is preferred. Candidates actively pursuing either designation will also be considered, provided CFA candidates have completed Level I or higher.
Minimum 3-5 years of experience working in regulatory compliance for a CSA-registered company.
Strong understanding of compliance frameworks and risk management principles, including regulations as prescribed under governing bodies and standards, i.e., OSC, FINTRAC, AML, etc.
Highly proficient in using Microsoft Excel.
Excellent command of the English language, both written and verbal.

Preferred:

Completion of the Canadian Securities course (CSC).
Completion of the CSI “Anti Money Laundering” course .
Completion of the Partners, Directors, and Senior Officers course (PDO).
Knowledge of laws affecting High Net Worth Investors, including Tax, Estates, and Trusts.

Other Requirements:

Excellent analytical, communication, and reporting skills.
High level of integrity and attention to detail; handle a high degree of sensitive and confidential information appropriately.
Ability to work independently and collaboratively in a fast-paced environment.
Flexible to work after hours as needed.
Excellent time management and organizational skills.
Results-focused with a drive for continuous learning.
High level of accountability for work and responsibilities.
Proactive and initiative.

This role is hybrid—one day remote and four days required in our office located near Yonge St. and Sheppard Ave. in North York, Toronto. We are seeking a dynamic and adaptable team member who can thrive in a fast-paced work environment to achieve our goals.

Pre-employment work references, credit and criminal background checks are required.

Additional Information

Benefits

After the standard three-month waiting period, successful new hires are eligible to join the Company’s Group Benefits Plan, which provides a range of life, health, and dental benefits, with premiums fully paid by the Company. After this same waiting period, transit commuters will also be eligible to participate in a generous reimbursement program to help subsidize public transportation costs to-and-from the office.

To help foster our culture of appreciation, employees have an opportunity to participate in our company wide program to give and receive rewards and recognition for high performance and service.

Other

This posting is for an existing job vacancy.

Successful Investor Wealth Management does not use artificial intelligence (AI) or automated decision-making systems to screen, assess, or select applicants for employment. All hiring decisions are made through human review of application materials, interviews, and assessments conducted by our recruitment team.

Successful Investor Wealth Management Inc. welcomes and encourages applications from people with disabilities. Accommodations are available on request for candidates taking part in all aspects of the selection process.

Quick apply

Refine Your Search

regulatory compliance specialist jobs in markham, on

Regulatory Compliance Specialist

Compliance Specialist, AML

Sr. Electromagnetic Compatibility (EMC) Engineer

Quality Engineering Specialist

Export Control Specialist

EMAR/Kroll Solutions Specialist

Medical Clinic Manager

Total Rewards Specialist

Quality & Compliance Team Lead

QUALITY INSPECTOR - FAI

Business Operations Specialist, Back Office

Promotions & Merchandising Manager

Director of Pharmacy Operations

Infusion Program Lead Pharmacist

Supervisor, Investor Relations – Hedge Funds

Senior Business Systems Specialist

Financial Analyst (12 Month Contract/Acting)

Commercial Revenue & Lease Specialist

Leasing Specialist

Manager, Investor Relations - Private Assets

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