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 specialists, 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; reviewing and approving of marketing materials; conducting asset mix monitoring and trade reviews; participating in regulatory filings; reviewing sales activities; facilitating appropriate registrations; actively involving in client reporting; coordinating compliance training programs and presentations; and perform 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 experience 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 Sylvia at [Click Here to Email Your Resumé] referencing Compliance Officer #05090-0011305363 in the subject line of your response.



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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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