Compliance Officer, Finance & Banking

Employment Type:

Full-Time

Vacancy:
Existing

We are seeking an experienced Compliance Officer to oversee and support the organization's regulatory compliance framework within the financial services industry. The successful candidate will have a minimum of five (5) years of related compliance experience and a strong understanding of regulatory requirements, including interactions with regulatory bodies such as the Ontario Securities Commission (OSC), Financial Services Regulatory Authority of Ontario (FSRA), and Financial Transactions and Reports Analysis Centre of Canada (FINTRAC).

This role is responsible for monitoring compliance obligations, supporting regulatory reporting and examinations, maintaining policies and procedures, and promoting a culture of compliance throughout the organization.

• Develop, implement, and maintain compliance policies, procedures, and controls.
• Monitor regulatory developments and assess their impact on the organization.
• Ensure ongoing compliance with applicable federal and provincial legislation, regulations, and industry requirements.
• Act as a primary point of contact for regulatory inquiries, examinations, audits, and reporting requirements.
• Liaise with regulators, including the OSC, FSRA, and FINTRAC, as required.
• Conduct compliance reviews, monitoring activities, and risk assessments.
• Support Anti‑Money Laundering (AML), Know Your Client (KYC), privacy, and related compliance programs.
• Investigate potential compliance breaches and recommend corrective actions.
• Maintain required compliance records, filings, and documentation.
• Deliver compliance guidance and training to employees and management.
• Prepare compliance reports and updates for senior leadership.
• Assist with internal audits and remediation initiatives.

• Minimum five (5) years of compliance experience within the financial services industry.
• Post‑secondary education in finance, business, real estate, or a related field.
• Demonstrated experience working with and responding to regulatory bodies, including the OSC, FSRA, and FINTRAC.
• Preferred Certified Anti‑Money Laundering Specialist (CAMS) certification.
• Strong knowledge of applicable financial services regulations, compliance frameworks, and industry best practices.
• Excellent analytical, investigative, and problem‑solving skills.
• Strong written and verbal communication skills.
• Ability to manage multiple priorities and work independently.
• Proficiency with Microsoft Office and compliance‑related systems.

• Competitive compensation package.
• Employer‑matched RRSP program.
• Opportunity to work in a dynamic and growing financial services environment.
• Career growth and development opportunities.

Hosper Mortgage is committed to fair and equitable recruiting practices in accordance with the Accessibility for Ontarians with Disability Act (AODA). Persons with disabilities are encouraged to come forward at any stage of the recruitment process to request accommodations, if needed.

Hosper Mortgage is an equal opportunity employer. We value diversity and are committed to building a team that reflects a wide range of backgrounds, perspectives, and skills.

We thank all applicants for their interest; however, only those selected for an interview will be contacted.