About the job

COMPLIANCE OFFICER

FULL-TIME

DOWNTOWN TORONTO, ON

Salary up to $120K

As the Compliance Officer , you will oversee the firm’s regulatory and internal compliance programs, with a key focus on market conduct review, trade conduct, and universal market integrity rules (UMIR). You will ensure that all operations, transactions, and client interactions comply with applicable laws, regulations, and internal policies. Collaborating with various departments, you will provide guidance, implement compliance protocols, and monitor activities that may pose potential compliance risks.

The Company

Our client is an investment firm with a history of skillfully navigating the market and providing clients with exceptional service. If you are a proactive and goal-driven tax professional looking to make your mark and further your career with a strong team, this could be the next step for you!

Company Perks and Rewards

• Competitive compensation and bonus
• Extensive health benefits package
• An exciting, fast-paced environment
• Office located in downtown Toronto
• And more!

The Job!

• Ensure the firm's operations comply with relevant securities laws, industry regulations, and financial standards, including IIROC, OSC, CSA, and other governing bodies.
• Conduct detailed market conduct reviews, including assessments of trade practices and compliance with Universal Market Integrity Rules (UMIR).
• Monitor and analyze trading activities to identify potential regulatory violations or market abuse, escalating concerns as needed.
• Review trading patterns, transaction reports, and internal controls to ensure adherence to trade conduct standards.
• Conduct regular audits and compliance checks to identify and address areas of risk or non-compliance.
• Monitor regulatory changes and communicate updates to internal stakeholders, ensuring timely adjustments to policies and procedures.
• Implement and maintain the firm’s risk management framework, ensuring all risks are identified, assessed, and appropriately mitigated.
• Assist with regulatory examinations, audits, and inquiries, and act as a key point of contact with regulatory bodies.
• Develop, update, and enforce compliance policies and procedures to align with evolving regulations and industry standards.
• Train and educate employees on regulatory requirements, internal compliance protocols, and ethical trading practices.
• Prepare and submit mandatory regulatory reports to authorities, including compliance certifications, filings, and transaction reports.
• Advise senior management, portfolio managers, and traders on regulatory issues impacting business strategies and decisions.
• Provide compliance expertise to business development initiatives, ensuring new services or products meet regulatory requirements.

What you bring to the job

• 6+ years of compliance leadership experience within the securities, investment, or financial services industry.
• Strong expertise in market conduct review, trade conduct, and UMIR .
• In-depth understanding of securities regulations, including IIROC, OSC, CSA, and other regulatory frameworks.
• Excellent analytical and problem-solving skills with keen attention to detail.
• Proven ability to assess complex regulatory frameworks and deliver practical, business-aligned solutions.
• Experience in securities and trading environments is an asset.
• Exceptional communication and interpersonal skills for collaboration across departments and with regulatory bodies.

Qualified job seekers are asked to apply with attention to Ashley Richardson.

I really look forward to hearing from you, but please understand that I will only be contacting those that are applicable for the role!

Options Consulting Solutions is an equal opportunity employer and welcomes applications from all individuals. Applicants selected for an in-person interview will be asked whether specific accommodations are needed to support a personal disability.

You can also find more jobs that may be suited to you on the Options Consulting Solutions Indeed and LinkedIn pages. Follow us on Instagram , Twitter and Facebook for job searching tips and other updates.