Compliance Officer - Financial Services Regulatory Body

North York (ON) Both (on-site & remote)
Opportunity Number: 2073258
Provincial GovernmentConsulting
LanguageSecurity Clearance
English verbal and writtenNot required
Start PeriodDate Posted
Two weeks +Wednesday, September 14, 2022
Job Description

Our client, a provincial regulator, is seeking a Compliance Officer to join their team on a 6-MONTH CONTRACT.

In this role, you will review, analyze, and resolve inquires and escalations involving market conduct, products, and business practices.

This is a HYBRID role requiring 2 days on site in North York.

IMPORTANT: To apply for this role, you must be incorporated/a consultant with articles of incorporation. Sole Proprietors can not be considered at this time.

Roles and Responsibilities

  • Investigate and assess complaints
  • Conduct analysis of business and financial documents, market conduct reviews, legislation, regulations, and policies
  • Provide guidance to financial institutions and intermediaries on the interpretation and application of market conduct requirements
  • Prepare comprehensive case reports of inquiry/complaint and resolution
  • Monitor and assess industry practices and activities

Qualifications and Experience
  • Knowledge of market conduct review, analysis, and assessment
  • Expertise in accounting principles, internal audit theory, and financial analysis
  • Understanding of risk based regulatory principles
  • Advanced knowledge of the financial services industry

Education and Certifications

Minimum education required: University Degree or College Diploma

Apply today or email for immediate consideration

We’re an equal opportunities employer committed to increasing diversity and inclusion in today’s workforce. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, or veteran status. Minorities, women, LGBTQ candidates, and individuals with disabilities are encouraged to apply. If you require an accommodation, please review our accessibility policy and reach out to our accessibility officer with any questions.
Merci de l’intérêt que vous manifestez pour ce poste. La description du poste nous a été fournie en anglais par notre client. Si vous souhaitez passer l’entrevue avec nous en français ou fournir votre CV en français, nous vous confierons à une personne de notre équipe qui parle français.

Opportunity Number: 2073258

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