Compliance Officer, Finance & Banking
Job in
Toronto, Ontario, M5A, Canada
Listing for:
Robert Half
Full Time
position
Listed on 2026-01-03
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist
Job Description & How to Apply Below
Robert Half is partnering with a client in North York, Ontario, to identify a dedicated Compliance Officer who will play an integral role in supporting the organization’s risk and compliance practices. This position involves close collaboration with the Chief Compliance Officer to ensure the company consistently meets all regulatory requirements and upholds high internal standards. The successful professional will have the opportunity to contribute to a dynamic, growth-focused environment that values innovation, best practices, and ongoing process improvement.
Key Responsibilities:
Review and assess new client documentation to verify compliance with applicable regulations and internal standards.Work closely with the marketing team to evaluate and approve marketing materials and online content for regulatory adherence.Maintain comprehensive records of compliance-related policies, procedures, and responsibilities as detailed within the organizational compliance calendar.Track and document employee compliance activities, including personal trading monitoring and acknowledgment forms.Conduct monthly reviews focused on Anti-Money Laundering (AML) and Anti-Terrorism financing compliance.Coordinate with IT to oversee and document the annual cybersecurity assessment process.Develop, update, and deliver training materials that promote compliance awareness throughout the organization.Assist with oversight of business operations, including fund accounting and trust accounting for pooled investment funds.Support the preparation and completion of third-party due diligence, regulatory surveys, and external audit requests.Liaise with regulatory bodies, addressing inquiries and supplying required documentation as needed.
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