tsinetwork

Regulatory Compliance Specialist

North York, Ontario

Sponsorship not specifiedDetected 20 days ago

ComplianceAccountingCommunicationTime ManagementAdaptability

About the role

REGULATORY COMPLIANCE SPECIALIST, Successful Investor Wealth Management Inc.
As a registered firm under the Ontario Securities Commission (OSC), we prioritize integrity, fiduciary responsibility, and regulatory excellence.
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.

Monitor, interpret, and implement changes in OSC regulations, securities legislation, and other applicable rules, including FINTRAC and AML.
Support with investigating and responding to any client complaints or concerns pertaining to portfolio management activities.
Manage ongoing compliance with Know-Your-Client (KYC), suitability, and client documentation obligations.
Audit & Examination Support
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.

handle a high degree of sensitive and confidential information appropriately.
Ability to work independently and collaboratively in a fast-paced environment.
Pre-employment work references, credit and criminal background checks are 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.
Completion of the Canadian Securities course (CSC).

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.
Execution of stock trades on behalf of the firm and its clients.

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.

This listing is sourced directly from tsinetwork's careers page and normalized into a canonical job model.