About the role

As a registered firm under the Ontario Securities Commission (OSC), we are seeking a Regulatory Compliance Specialist to work alongside our CCO to help ensure continued adherence to securities laws and regulatory best practices in the wealth management industry.

Requirements

• Bachelor's degree in law, finance/accounting, business, or related field
• Completion of the Canadian Securities Course (CSC)
• Completion of the Partners, Directors, and Senior Officers Exam (PDO)
• Completion of the Chief Compliance Officers Qualifying Exam (CCO)
• Minimum 3-5 years of experience in regulatory compliance for a CSA-registered company
• Strong understanding of compliance frameworks and risk management principles (OSC, FINTRAC, AML)
• Highly proficient in Microsoft Excel
• Excellent English communication skills

What you'll do

• Monitor, interpret, and implement changes in OSC regulations, securities legislation, FINTRAC and AML rules
• Review and enhance compliance framework, policies, and internal controls
• Conduct internal compliance audits and risk assessments
• Prepare regulatory filings, reporting, surveys, and audits
• Manage KYC, suitability, and client documentation obligations
• Serve as subject matter expert on regulatory issues and provide compliance training
• Coordinate with auditors and act as contact for OSC, FINTRAC, and CRA audits