Compliance Officer, Finance & Banking

Drive compliance excellence with a leading financial team in Toronto, Ontario. This Compliance Officer role focuses on regulatory oversight and enhancing client relationships in a collaborative environment.

As a Compliance Officer, you will contribute to the Canadian Wealth Distribution Compliance team and ensure all activities comply with regulations and internal policies. Your expertise will help execute compliance programs, detect violations, and contribute to risk assessments. By partnering with Global Compliance groups, you’ll ensure the monitoring program's successful execution while fostering a customer-focused culture.

Key Responsibilities:

• Conduct compliance oversight in alignment with regulatory requirements

• Address and follow up on compliance issues promptly

• Execute risk-based regulatory compliance monitoring programs

• Identify gaps in existing compliance protocols

• Collaborate on compliance updates and special projects

Requirements:

• College Diploma or University Degree preferred

• 2+ years experience in the financial industry

• Industry accreditations or relevant courses an asset

• Strong analytical and interpersonal skills

• Effective communicator, both verbally and in writing

Bring your skills in compliance oversight and regulatory standards to this pivotal role in Toronto's financial sphere.
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