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Compliance Officer

Toronto, ON · Information Technology
On behalf of our client, Affinity Staffing  is seeking a Compliance Officer   
Interested in a change and stepping out of the big banks? This is a unique opportunity with a growing company that's a leader in the industry . The Compliance Officer is responsible for advising and updating the Chief Compliance Officer on all regulatory compliance related issues, ensuring dealer compliance with relevant securities rules and regulations and federal and provincial legislation, coordinating and carrying out branch audits, acting as a liaison with the securities regulators in assigned jurisdictions, and supporting the business in the implementation of its initiatives.  
 
What’s in it for you?  
 
Below are examples of some of the things you can take advantage of from this opportunity:  
  • Work with a highly motivated, collaborative, and fun team/work environment
  • Competitive salary and annual discretionary bonus programs
  • Above industry company paid standard benefits that start on your first day
  • RRSP Group Pension Plan with company contributions
  • Great vacation package, plus additional paid days off
  • Education reimbursement program to encourage continuous learning
  • Organization and team celebration events
  • Wellness Program, Employee and Family Assistance Program, Employee Recognition Program and much more!
  • Ability to work remotely 2 days per week  
 
Responsibilities: 
 
• Support dealer registration across multiple categories including mutual fund dealer, scholarship plan dealer and portfolio manager
• Monitor changes to securities and other legislation as it relates to regulatory compliance, assess the impact on the dealer’s and provide comments/responses as required 
• Assess the effectiveness of compliance policies and procedures on an on-going basis to ensure compliance with securities and other laws, self-regulatory organization by-laws and rules, and recommend and implement changes where appropriate
• Conduct data analysis to identify trends and provide insights, including the development of predictive key performance indicators. Escalate any identified trends to the Chief Compliance Officer
* Create/improve existing supervisory reports and/or develop the requirements for exception reports/metrics/tools to support the supervisory practices of Head Office and the branch managers  
• Leverage technology to support the development of computer assisted audit techniques and online training modules
• Support the business and its initiatives by providing research, consultation and advice to identify and address the compliance implications of new programs and initiatives 
 
Other Duties may include: 
 
• Coordinate and conduct branch audits to ensure all compliance requirements are being followed
 • Monitor trading activities of sales representatives in assigned jurisdictions utilizing applicable reports and the sales database  
• Conduct a timely review of all new sales representative applications and disclosures for registration in the provinces assigned for submission to the relevant regulator
 • Develop and deliver online and in-person Compliance training programs to the distribution channels and Head Office staff
• Oversee the subscriber complaints handling process by reviewing all complaint files and staff recommendations and providing support as required for resolution
• Review and approve all corporate and local marketing collateral and contest rules and regulations
• Perform special compliance-related projects and other duties, such as prospectus document preparation, due diligence reviews, as required 
 
Qualifications/Requirements: 
 
• 5+ years experience in a self-regulatory organization or the investment management industry is required. Must have Experience with the MFDA 
• Post-secondary education, preferably a degree in accounting, economics or a related field
• A thorough knowledge of securities regulations and laws along with experience in their application to distribution and financial services operations, including dealer registration
• Canadian Securities Course or Canadian Investment Funds Course; Partners, Directors and Senior Officers Course; Branch Managers Course.  Conduct and Practices Course and Chief Compliance Officer Qualifying Exam an asset
• Strong analytical and problem-solving skills necessary to identify trends and issues and good judgment to recommend solutions that support the business objectives
• Strong interpersonal and organizational skills
• Effective written and oral communication
• French language proficiency is an asset
• Ability to work independently and be a self-starter 
• Must be available to travel to visit Branch Offices and conduct audits and training • Strong relationship building skills with a positive “can-do” attitude! 
 
About Affinity Staffing

 Affinity Staffing is a full service Information Technology Agency that takes a unique approach to recruiting.We believe recruiting is about creating long term relationships that foster a mutually beneficial partnership - an affinity. Bringing a new style of recruiting founded on our four key principles - Transparency - Flexibility - Agility - Efficiency.  

 For more information on Affinity Staffing, please visit www.affinitystaffing.ca



 
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