Ontario Regulatory compliance Jobs – 2170 Openings This Week

Regulatory Compliance Specialist
The Successful Investor —North York, ON
- Full-time
- Hybrid work
- Microsoft Excel
- English
- Finance
- Dental care
Quick apply
Product Compliance & Regulatory Affairs Specialist
Frontier Dental Supply —Markham, ON
- $75,000–$80,000 a year
- Full-time
- Engineering
- Databases
- Bachelor's
- Dental care
- Tuition reimbursement
Regulatory Compliance Analyst
OCS —Toronto, ON
- $61,291.58–$93,437.08 a year
- Full-time
- Microsoft Powerpoint
- Microsoft Word
- Microsoft Excel
Quick apply
Regulatory Compliance Specialist
Regulatory Compliance Specialist —Cambridge, ON
- $45 an hour
- Full-time
- Microsoft Word
- Microsoft Excel
- Microsoft Outlook
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
5d
Compliance Analyst, Client Onboarding
Questrade Financial Group —Toronto, ON
- $65,000–$75,000 a year
- Full-time
- Hybrid work
- Microsoft Excel
- Customer service
- Analysis skills
Quick apply
Regulatory and Compliance - Associate
iCapital —Toronto, ON
- $80,000–$95,000 a year
- Full-time
- Microsoft Powerpoint
- Bilingual
- Microsoft Word
- Paid time off
- Vision care
Finance Director
Magnetawan First Nation —Britt, ON
- $102,000–$110,000 a year
- Full-time
- Microsoft Excel
- Microsoft Office
- Finance
Quick apply
HVAC Operations Manager
Patrick Sprack Limited —Lively, ON
- $95,000–$100,000 a year
- Full-time
- Business development
- Project management
- Continuous improvement
- Dental care
- Vision care
Quick apply
4d
Training & Quality Control Manager (RIBO Licensed) - Personal Insurance Brokerage
YOUNGS INSURANCE BROKERS INC. —Niagara Falls, ON
- $65,000–$80,000 a year
- Full-time
- Sales
- Customer service
- Analysis skills
- Dental care
- Paid time off
Quick apply
Model Risk Management Analyst, AVP
MUFG Canada —Toronto, ON
- Full-time
- Finance
- Master's degree
- Machine learning
Director of Finance (Finance Controller)
Confidential —Vaughan, ON
- $120,000–$140,000 a year
- Full-time
- Hospitality
- ERP systems
- Finance
- Disability insurance
- Dental care
Quick apply
Scale up Supervisor -Chemist
SV labs —Brampton, ON
- $70,000–$85,000 a year
- Full-time
- Engineering
- Bachelor's
- In-person
- Dental care
- Paid time off
Quick apply
Commercial Property Manager
Y.P.M. —Toronto, ON
- $100,000–$120,000 a year
- Full-time
- In-person
- Business
- Communication skills
Quick apply
14d
Project Manager, Regulatory Sciences
Nutrasource —Guelph, ON
- $60,000–$70,000 a year
- Full-time
- Microsoft Powerpoint
- Microsoft Word
- Microsoft Excel
Quick apply
Audit Manager
Fingold and Fosbery Professional Corporation —Toronto, ON
- From $120,000 a year
- Full-time
- Microsoft Excel
- English
- Finance
- Dental care
- Vision care
Quick apply
4h
Audit Manager
Fingold and Fosbery Professional Corporation —Whitby, ON
- From $120,000 a year
- Full-time
- Microsoft Excel
- English
- Finance
- Dental care
- Vision care
Quick apply
4h
Equipment Trainer & Evaluator
OSG Inc. —Vaughan, ON
- $23–$29 an hour
- Full-time
- Forklift
- Travel
- Manufacturing
Quick apply
7d
Chief Financial Officer (CFO)
Bolder Developments —Toronto, ON
- $132,144–$180,000 a year
- Full-time
- Finance
- Master's degree
- Bachelor's
Quick apply
14d
Equipment Trainer & Evaluator
OSG Inc. —Brampton, ON
- $23–$29 an hour
- Full-time
- Forklift
- Travel
- Manufacturing
Quick apply
7d

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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.

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Refine Your Search

regulatory compliance jobs in ontario

Regulatory Compliance Specialist

Product Compliance & Regulatory Affairs Specialist

Regulatory Compliance Analyst

Regulatory Compliance Specialist

AML & Regulatory Compliance Specialist

Compliance Analyst, Client Onboarding

Regulatory and Compliance - Associate

Finance Director

HVAC Operations Manager

Training & Quality Control Manager (RIBO Licensed) - Personal Insurance Brokerage

Model Risk Management Analyst, AVP

Director of Finance (Finance Controller)

Scale up Supervisor -Chemist

Commercial Property Manager

Project Manager, Regulatory Sciences

Audit Manager

Audit Manager

Equipment Trainer & Evaluator

Chief Financial Officer (CFO)

Equipment Trainer & Evaluator

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