Compliance Officer

Full-time, Permanent


3 weeks ago in Banking and Asset Management

Job Description:

Our client, a value-oriented investment counseling firm located in Toronto requires a Compliance Officer to join their team. The company manages assets on behalf of institutional and high-net-worth clients across the country.


  • Conduct daily, monthly and quarterly surveillance on client accounts and funds to assure that management in accordance with regulatory and client parameters
  • Reports and follows-up on compliance alerts to various departments
  • Complete regulatory filings (OSC, SEC)
  • Conduct AML, sanctions checks and approve new accounts
  • Respond to compliance related client questionnaires / certifications and audit requests
  • Organize the annual internal risk control audit
  • Prepare monthly and quarterly compliance reporting
  • Monitor changing regulatory requirements
  • Attend industry events to learn best practices and industry developments as they relate to compliance
  • Communicate with external legal counsel
  • Trade review authorization
  • Best execution / trade cost analysis
  • Participate in marketing meetings and review marketing materials
  • Review quarterly employee personal trading statements


  • Strong knowledge of the regulatory framework in Canada (Securities Act)
  • University or College Graduate
  • Multi-tasking capabilities
  • Deadline driven
  • Curious, analytic and problem-solving
  • Excellent knowledge of Excel
  • Highly organized
  • Excellent verbal and written skills
  • Experience in the investment field preferred, particularly in a Compliance role


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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