Greater Toronto Area, On Regulatory compliance specialist Jobs – 533 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, Distribution
IVARI —Toronto, ON
- $70,000–$90,000 a year
- Full-time
- Microsoft Powerpoint
- Bilingual
- Microsoft Word
- Dental care
Quick apply
AML & Regulatory Compliance Specialist
Complyfactor Ltd —Mississauga, ON
- $45,000–$50,000 a year
- Part-time
- Finance
- Analysis skills
- Bachelor's
Quick apply
Specialist, Regulatory Compliance - Remote
Circular Materials —Toronto, ON
- $55,000–$67,000 a year
- Full-time
- Remote
- Microsoft Excel
- Bachelor's
- Organizational skills
Quick apply
Operations and Regulatory Compliance Specialist Sr
Fidelity Investments —Toronto, ON
- $79,000–$96,000 a year
- Full-time
- Microsoft Powerpoint
- Bilingual
- Microsoft Word
- Tuition reimbursement
- Paid time off
20h
Electrical Design Specialist
Greenergy Fuels Canada —Concord, ON
- $95,000–$110,000 a year
- Full-time
- AutoCAD
- Microsoft Excel
- Up to 50% travel
- Wellness program
- Disability insurance
Quick apply
Food Safety Culture & Compliance Specialist
Embassy Ingredients —Brampton, ON
- $70,000–$90,000 a year
- Full-time
- Bachelor's
- No university degree
- In-person
- Wellness program
- Disability insurance
Quick apply
Payroll Specialist Lead
Giampaolo Group Inc —Brampton, ON
- $75,000–$85,000 a year
- Full-time
- Microsoft Excel
- Bachelor's
- Accounting
- Wellness program
- Disability insurance
Quick apply
2d
Senior Manager, AML Advisory, Canadian Banking & Wealth Management - Contract
Scotiabank —Toronto, ON
- Contract
- Finance
- Project management
- Bachelor's
2d
Specialist Physician
NeuPath Centre for Pain and Spine —Mississauga, ON
- Full-time
- English
- Communication skills
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
9d
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
Export Control Specialist
Bittele Electronics Inc. —Markham, ON
- $70,000–$100,000 a year
- Full-time
- In-person
- Communication skills
- Mileage reimbursement
Quick apply
13h
Head of Data Governance Products
Sanofi EU —Toronto, ON
- $165,800.00–$239,466.66 a year
- Azure
- Master's degree
- AWS
Marketing Automation Specialist
The Minto Group —Toronto, ON
- $85,000–$95,000 a year
- Full-time
- Sales
- Marketing
- Salesforce
- Paid time off
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
Medical Clinic Manager
West Hill Medical Centre —Toronto, ON
- Full-time
- Management
- Medical office experience
- English
- Paid time off
Quick apply
10d
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
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 INSPECTOR - FAI
LHM Technologies Inc. —Vaughan, ON
- $26–$33 an hour
- Full-time
- In-person
- Manufacturing
- Wellness program
- Disability insurance
Quick apply

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regulatory compliance specialist jobs near greater toronto area, on

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 jobs in greater toronto area, on

Regulatory Compliance Specialist

Compliance Specialist, Distribution

AML & Regulatory Compliance Specialist

Specialist, Regulatory Compliance - Remote

Operations and Regulatory Compliance Specialist Sr

Electrical Design Specialist

Food Safety Culture & Compliance Specialist

Payroll Specialist Lead

Senior Manager, AML Advisory, Canadian Banking & Wealth Management - Contract

Specialist Physician

Quality Engineering Specialist

EMAR/Kroll Solutions Specialist

Export Control Specialist

Head of Data Governance Products

Marketing Automation Specialist

Business Operations Specialist, Back Office

Medical Clinic Manager

Infusion Program Lead Pharmacist

Total Rewards Specialist

QUALITY INSPECTOR - FAI

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