Compliance Assistant

Full-time, Permanent


3 weeks ago in Accounting and Finance

Job Description:

Our client, an investment management firm requires a Compliance Assistant to join their Private Capital Compliance team. Reporting to the Chief Compliance Officer, you will support the overall compliance function of the business. You will be one of the primary resources for the Client Relationship Managers (“CRMs”), Associates and Regulators. This is a content heavy position that will require a deep understanding of the business and the ability to manage a high volume of information flowing from both internal and external sources.


  • Assist with regulatory audits
  • Assist in the review of client files to ensure they are accurate and complete
  • Assist with performing Anti Money Laundering (AML) and Know Your Client (KYC) checks
  • Maintaining compliance logs
  • Assist with special projects across the firm
  • Assist with performing regulatory compliance checks/spot audits to guarantee continuous regulatory compliance as directed
  • Assisting the Chief Compliance Officer in the monitoring of all compliance and regulatory matters
  • Organizing meetings and maintaining minutes
  • Stay abreast of regulatory changes


  • Experience: You have a minimum of three years of related work experience, ideally in compliance, finance, or operations from a financial and/or investment firm.
  • Education: You have an undergraduate degree and industry-specific coursework (Canadian Securities Course, CFA Level 1).
  • Knowledge: You are familiar with NI 31-103 and rules set by regulatory authorities such as the Ontario Securities Commission (“OSC”), British Columbia Securities Commission (“BCSC”), Autorité des marchés financiers (“AMF”), and Financial Transactions and Reports Analysis Centre of Canada (“FINTRAC”).
  • Collaborative Communication: You have a collaborative, team player spirit that helps you work well with others and communicate effectively.
  • Analytical & Strategic: You possess an analytical mind and enjoy solving problems with an eye for detail.
  • Time Management: You have the ability to work efficiently under pressure, both individually and as part of a team, dealing with changes and interruptions while maintaining strict deadlines.


To apply, upload your resume and complete the required information in the “Apply For The Job” section located to the right of the posting. Alternatively, quote the position title and email your resume to: Lindsey;

If you are already registered with TDS Personnel please contact your Consultant

TDS Personnel is an equal opportunity employer and is committed to providing employment in accordance with the Ontario Human Rights Code and the Accessibility for Ontarians with Disabilities Act. Accommodations within reason due to a disability or medical need are available on request for candidates taking part in the recruitment process.

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