Compliance Officer
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Compliance Officer

Job Description

Ref ID: 05090-0011305363

Classification: SEC Compliance Manager/Director

Compensation: DOE

Attention all institutional and Private Client Compliance generalists, with exposure to National Instruments legislation and a flair for dealing with people and creating viable solutions in the ever-changing compliance environment, looking for a new and exciting role! Our client, located in the downtown Toronto core, is expanding, and is looking for a proven multitasker to join their compliance team in a dynamic multifaceted newly created role. As a part of the Compliance team and reporting to the VP of Compliance, you will be responsible for a variety of duties, including regular monitoring reporting and testing; review and approval of marketing materials; conducting asset mix monitoring and trade reviews; participating in regulatory filings; reviewing sales activities; facilitating appropriate registrations; involvement in client reporting; coordinating compliance training programs and presentations; and special compliance projects as required.

Job Requirements

As a strong candidate for this high profile role, you bring post secondary education along with relevant Industry experience and proven expertise, ideally in Institutional or Private Client areas. Your demonstrated working knowledge of securities legislation, combined with your superior communication and interpersonal skills, and your relationship and solution orientation and strategic approach, makes this a win/win!

For immediate consideration, please email your resume in confidence to [Click Here to Email Your Resumé] referencing Compliance Officer #05090-0011305363 in the subject line of your response. We thank all applicants in advance, but only those under consideration will be contacted to move forward; no phone calls please.

Robert Half Finance & Accounting, the world's leader in specialized financial staffing, provides exciting full-time opportunities in the areas of accounting, bookkeeping, finance, audit, taxation and more. We pioneered the professional staffing industry, and we've been successfully matching professionals with employers since 1948. Our proven proprietary processes, along with our relationships in 325 locations worldwide, allow us to provide you unparalleled access to exciting career opportunities. But don't take our word for it. Our company has appeared on Fortune® magazine’s list of “World's Most Admired Companies” since 1998, and 9 out of 10 of our customers would recommend our service to a colleague.

Apply for this job now or contact our nearest office at 888.490.5461 for additional information.

All applicants applying for U.S. job openings must be authorized to work in the United States. All applicants applying for Canadian job openings must be authorized to work in Canada.

© 2019 Robert Half Finance & Accounting. An Equal Opportunity Employer M/F/Disability/Veterans.

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Job Snapshot

Other Pay DOE
Employment Type Full-Time
Job Type Accounting, Finance
Education Not Specified
Experience Not Specified
Manages Others Not Specified
Industry Other Great Industries
Required Travel Not Specified
Job ID 05090-0011305363
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Compliance Officer


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