Regulatory Compliance Officer - Financial Services
Location: Toronto, Downtown
Work Model: Onsite during probation, then hybrid (3 days per week)
Work Hours: Flexible
A well-established financial services organization is seeking a Regulatory Compliance Officer to join its growing compliance team. This role supports regulatory monitoring, reporting, and compliance oversight across multiple regulated jurisdictions within a global framework.
The role
- Monitor regulatory and legislative updates relevant to the business and escalate changes as required
- Perform first-level gap analysis on regulatory developments and assess potential business impact
- Support statutory and regulatory filings within required timelines
- Assist with the development, review, and maintenance of compliance policies and procedures
- Act as a checker within the Compliance Monitoring Program, ensuring testing and quality reviews are completed appropriately
- Respond to internal business queries and provide regulatory guidance under management supervision
- Support regulatory inspections, audits, and information requests
- Assist with compliance reporting for senior management, committees, and the board
- Contribute to the development and ongoing maintenance of Compliance Monitoring Plans across regulated jurisdictions
- Support oversight of outsourced service providers, including review of risk assessments and reporting
- Assist with testing and maintenance of regulatory compliance systems and tools
- Maintain regulatory records and support ad-hoc compliance projects as required
What we're looking for
- Relevant degree; paralegal or legal support experience also considered
- Compliance qualification (ACAMS, ACOI, or similar) is preferred
- Minimum 4 years' experience in Non-AML Regulatory Compliance
- Experience within financial services, ideally fund administration and/or banking
- Strong understanding of financial services regulations in regulated or offshore jurisdictions
- Excellent written and verbal communication skills with strong report-writing ability
What's on offer
- Base salary of $80,000-$100,000 plus performance-based bonus
- Comprehensive benefits package
- Retirement savings and pension programs
- Generous vacation allowance
- Health, life, and wellness coverage
- Professional development and education support
- Fitness and wellness reimbursement
- Support for professional memberships
