Compliance Associate

Full-time, Permanent


2 weeks ago in Accounting and Finance

Job Description:

Our client a investment mortgage lender, requires a Compliance Associate to join their team. The successful candidate will assist the Investor Relations department with management level reporting and will keep up to date on the regulatory and financial services regulations. They will identify and escalate key compliance issues as may be appropriate, and assist the business with ongoing training and development of action plans to address regulatory requirements.


  • Update and revise the Policies and Procedures Manual as well as updating and creating forms and documentation.
  • Provide training in relation to the new Manual and forms and ensuring they meet regulatory expectations with ongoing compliance support.
  • Support and maintain the company’s compliance policies and programs; Conduct compliance risk assessments; Coordinate annual self-assessments and review program.
  • Reporting to the senior management on the adequacy and issues relating to the regulatory compliance program; review and comment on any new and relevant legislative developments; receive reports from company departments and business units on any issues involving regulatory compliance control procedures.
  • Other Compliance related duties as may reasonably be assigned.


  • Strong, experience-based knowledge of Canadian laws, particularly with respect to Trust and Loans Companies or the Bank Act.
  • Strong understanding of compliance fundamentals relevant to the industry.
  • Demonstrated experience and success in developing, implementing and enhancing regulatory compliance policies and programs.
  • Proven track record of managing successful regulatory compliance projects.
  • A university degree in law, business or equivalent combination of education & experience
  • Canadian Securities Course (CSC);
  • Conduct and Practices Course (CPH);
  • CIM preferred but not mandatory.
  • Proven leadership skills and the ability to work under pressure.
  • Excellent written and verbal communication skills and a proven ability to develop and implement solutions for complex issues.
  • Ability to learn and adapt to rapidly changing regulatory and business environments.
  • Proficiency with Web-based applications, MS Office Suite (Excel, Word, PowerPoint).
  • Team player with ability to influence and mentor others


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: Leah;

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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