Regulatory & policy specialist Jobs

Regulatory Compliance Specialist
The Successful Investor —North York, ON
- Full-time
- Hybrid work
- Microsoft Excel
- English
- Finance
- Dental care
Quick apply
Impact Assessment Specialist
A.E.W. Limited Partnership —British Columbia
- $100,000–$130,000 a year
- Full-time
- Remote
- Organizational skills
- In-person
- Dental care
- Paid time off
Quick apply
Regulatory & Policy Specialist
Flair Airlines Ltd. —Vancouver, BC
- Full-time
- Microsoft Powerpoint
- Microsoft Word
- Microsoft Excel
- Disability insurance
- Dental care
Quick apply
5h
Marine HSQE & Compliance Specialist
Mckeil Marine Limited —Burlington, ON
- Full-time
- Writing skills
- Engineering
- Microsoft Office
Quick apply
Specification Specialist
High Liner Foods —Lunenburg, NS
- $60,000–$65,000 a year
- Hybrid work
- Microsoft Powerpoint
- Microsoft Word
- Microsoft Excel
- Dental care
- Vision care
Corporate Fuel Infrastructure Specialist
City of Saskatoon —Saskatoon, SK
- $93,293.52–$109,486.56 a year
- Full-time
- Engineering
- English
- Microsoft Office
- Dental care
- Employee assistance program
4d
Intermediate Environmental Specialist
Aurora Environmental Services Ltd. —Edmonton, AB
- Full-time
- Hybrid work
- Writing skills
- Microsoft Office
- Bachelor's
- Wellness program
- Dental care
Quick apply
Senior Residential Claims Expert – High Net Worth (PCA | Field & Desk)
TD Bank —Montréal, QC
- $79,100–$111,700 a year
- Full-time
- Remote
- Communication skills
- Negotiation
- Paid time off
Indigenous Engagement Specialist
Green Infrastructure Partners Inc. —Ottawa, ON
- Bilingual
- English
- Travel
EHS Specialist
Industrial Electric Manufacturing —Surrey, BC
- $45.67–$52.88 an hour
- Engineering
- Microsoft Office
- Bachelor's
Quick apply
Return to Work Specialist - FTT
Coast Mountain Bus Company Ltd —Metro Vancouver Regional District, BC
- $71,360–$107,040 a year
- Full-time
- Microsoft Office
- Project management
- Bachelor's
- Dental care
7d
Manager, Benefits and Employee Records Admin
TransLink —Metro Vancouver Regional District, BC
- $100,080–$150,120 a year
- Full-time
- Hybrid work
- Management
- Human resources
- Organizational skills
- Disability insurance
- Dental care
6d
Bilingual Member Support Specialist I
Assiniboine Credit Union Ltd —Winnipeg, MB
- Hybrid work
- Bilingual
- Microsoft Outlook
- English
- Dental care
4d
Property Tax Specialist
Fairstone —Toronto, ON
- $50,000–$60,000 a year
- Full-time
- Hybrid work
- Bilingual
- Microsoft Word
- Microsoft Excel
- Dental care
Dental Practice Coordinator
Vertical Bridge Corporate Consulting Inc. —Esquimalt, BC
- $35–$42 an hour
- Full-time
- In-person
- Paid time off
Quick apply
5d
Construction Planning Specialist
BC Hydro —British Columbia
- $131,100–$165,800 a year
- Full-time
- Hybrid work
- PMP
- Master's degree
- Analysis skills
6d
Sr Quality Management Specialist
HyLife —Neepawa, MB
- From $75,000 a year
- Full-time
- Microsoft Excel
- Microsoft Office
- High school diploma or GED
- Store discount
- Disability insurance
Quick apply
7d
Health, Safety & Training Specialist
Earthscape Play —Wallenstein, ON
- $70,000–$80,000 a year
- Contract
- Forklift
- Project management
- First Aid Certification
- Profit sharing
- Dental care
Quick apply
1d
Bilingual Senior Program Manager - Nurse Practitioner Team Lead
TELUS —Montréal, QC
- $86,000–$136,000 a year
- Temporary
- Remote
- Bilingual
- Google Suite
- Data analysis skills
Communications Specialist
Alberta College of Optometrists —Edmonton, AB
- Full-time
- Hybrid work
- Microsoft Office
- Travel
- In-person
Quick apply
6d

I want to receive the latest job alerts for regulatory & policy specialist

By signing in to your account, you agree to SimplyHired's Terms of Service and consent to our Cookie and Privacy Policy.

Explore jobs in more locations

regulatory & policy specialist jobs near

Regulatory Compliance Specialist

The Successful Investor
North York, ON

Quick apply

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

Impact Assessment Specialist

Regulatory & Policy Specialist

Marine HSQE & Compliance Specialist

Specification Specialist

Corporate Fuel Infrastructure Specialist

Intermediate Environmental Specialist

Senior Residential Claims Expert – High Net Worth (PCA | Field & Desk)

Indigenous Engagement Specialist

EHS Specialist

Return to Work Specialist - FTT

Manager, Benefits and Employee Records Admin

Bilingual Member Support Specialist I

Property Tax Specialist

Dental Practice Coordinator

Construction Planning Specialist

Sr Quality Management Specialist

Health, Safety & Training Specialist

Bilingual Senior Program Manager - Nurse Practitioner Team Lead

Communications Specialist

I want to receive the latest job alerts for regulatory & policy specialist

Related Searches

Explore jobs in more locations

Job seeker tools

Employer Tools

Browse

Stay Connected