172 Compliance Lead jobs in Canada
Regulatory Compliance Lead
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Job Description
Why DUCA?
We’re a vibrant, exciting credit union that lives its "profits with a purpose" philosophy in every financial transaction, product, interest rate, and community initiative we offer. Founded in 1954, DUCA has grown from a single branch credit union in Toronto to 19 branches across Southern Ontario with over 85,000 Members we are proud to serve.
We exist to help People, Businesses and Communities Do More, Be More, and Achieve More™ .
DUCA ( is distinguished for the following:
- Positive, un-big bank like service experience delivered through Member-facing staff in branch, on the phone (Member-Connect) and via our Mobile mortgage specialists, Wealth Management advisors and Commercial and Business Banking Account Managers.
- Competitive rates.
- Personalized financial solutions, guidance, and service with the lowest possible fees for both Personal and Business Members.
- Profit sharing among Members.
- Multiple ways to bank—online, mobile app, phone/full-service Member Connect Contact Centre, and, of course, in-branch—DUCA is accessible 24/7
- A community philosophy of “profits with a purpose” culminating in the creation of the DUCA Impact Lab ( a charitable foundation committed to helping the credit challenged and underbanked. This led to DUCA's designation as a B-Corp certified organization, the first ever credit union to receive this global recognition.
A career with DUCA means you’ll find endless opportunities to make a difference with your unique abilities and perspectives. Our people live their purpose while helping others Do more, Be more and Achieve more with their money and their lives. At DUCA, you’ll be part of a vibrant and collaborative team where you’ll be supported to excel and make an impact, no matter what role you play.
Regulatory Compliance Lead
DUCA is looking for a Regulatory Compliance Lead to join our growing team!
Job Purpose & Summary
The primary responsibility of the Regulatory Compliance Lead is to support the development, implementation and execution of DUCA’s Regulatory Compliance Management Program, excluding the AML/ATF Program*.
*Please Note: The CAMLO has the primary responsibility for the AML/ATF Program. However, the Regulatory Compliance Lead will be responsible for executing the quality assurance testing of elements of the AML/ATF Program.
The Regulatory Compliance Lead utilizes the organization’s regulatory compliance framework, systems and applications to perform regulatory compliance risk identification, control identification and evaluation, gap analysis, and any additional regulatory compliance activities that help enhance the state of organizational regulatory compliance at DUCA.
The Regulatory Compliance Lead will be responsible for supporting the Vice President, Legal & Compliance in managing regulatory compliance programs, collaborating with Compliance department senior management, some third-party service providers, and regulatory bodies, including, but not limited to FSRA, CRA, OPC, and DUCA’s internal and external auditors. In addition, there will also be some engagement with DUCA front-line business units and other functional areas within DUCA.
The Regulatory Compliance Lead will support the Privacy Officer and be relied upon by the Vice President, Legal & Compliance to lead the execution of the Privacy program on an enterprise-wide basis, including any and all subsidiaries.
Key Accountabilities & Duties
- Identify regulatory compliance requirements applicable to an Ontario credit union, including but not limited to: FATCA/CRS, Privacy/PIPEDA, CASL, Market Conduct Code, Credit Unions and Caisses Populaires Act, 2020, etc.; and
- Provide Compliance department senior management and DUCA business unit leaders with the background, context and other explanatory information sufficient to ensure an organizational understanding of regulatory compliance requirements; and
- Provide contextual support, as required, to operational business units in the management of regulatory compliance risk through functional operationalized processes and procedures; and
- Primary functional responsibility for the implementation, maintenance, and support to business units for DUCA’s organizational regulatory compliance risk management software (i.e. Resolver); and
- Utilize Resolver, and other applications (as required), to identify regulatory compliance risks, regulatory compliance controls, regulatory compliance gaps, and the allocation of regulatory risk to business unit owners; and
- Conduct planned compliance testing (Quality Assurance) across all aspects of the Regulatory Compliance programs and issue reports outlining the results of those activities; and
- Provide periodic reporting, including quarterly Regulatory Compliance reports, and monthly Management Compliance and Operational Risk Committee (MCORC) on any identified regulatory compliance deficiencies or gaps following the performance of self-assessments, control assessments and/or compliance testing; and
- Provide data and statistics to the Vice President, Legal & Compliance for utilization of senior management and the Board to evidence the state of organizational regulatory compliance; and
- Assist in the maintenance of all Level 1 Regulatory Compliance policies on an annual basis; and
- Lead the execution of DUCA’s Privacy program by responding to and managing privacy breaches, leading investigations and addressing complaints, reporting on conclusions or finds internally or externally when applicable; and
- Any other duties and projects as may be assigned.
Occupational Experience & Education Requirements
- Degree or diploma in a law, commerce or related financial services field; and
- Minimum of four (4) years of direct experience in financial services Regulatory Compliance, including dispute resolution, Privacy, CASL and FATCA/CRS; and
- Completion of dispute resolutions courses considered an asset.
Knowledge, Skills & Attributes
- Expert level skills in MS Office products, specifically Excel, Word and PowerPoint; and
- High level of integrity with the ability to deal with confidential and sensitive Member and employee information with a high degree of professionalism; and
- Strong knowledge of FATCA/CRS, Privacy/PIPEDA, CASL, Market Conduct Code, Credit Unions and Caisses Populaires Act, 2020, requirements as they pertain to the operation of an Ontario credit union; and
- Ability to make decisions independently using sound judgment, work well under pressure and shifting priorities while meeting multiple or conflicting deadlines; and
- Critical thinking and analytical skills with a focus on problem solving and continuous improvement; and
- Meticulous attention to detail and very strong organizational and prioritization skills; and
- Excellent verbal and written communication skills with strong interpersonal skills to successfully interact, encourage, and influence at all organizational levels, including senior leadership teams; and
- Strong execution skills with attention to detail and focus on clear, realistic action steps and timelines.
Working Conditions
Normal office environment/model. Potential for longer hours given certain demands of the job and reporting deadlines.
Department: Compliance Department
Primary Location: Corporate Office - 5255 Yonge Street, North York, M2N 6P4
Employment Status: Full-Time
Hours per Week: 38
Salary: The annual salary range for this position starts at $69,956. Actual annual base salaries will vary depending on relevant job-related factors such as experience, knowledge, skills, qualifications, and education/training. Depending on the position, DUCA’s total compensation package may include incentive compensation tied to company and individual performance or other benefits.
Number of Vacancies: 1
DUCA is committed to employment equity and encourages applications from all qualified candidates. Recruitment related accommodations will be provided upon request.
Qualified applicants are encouraged to submit their application. Applications must include a resume.
We thank all applicants but only those considered for an interview will be contacted.
Customs Compliance Lead
Posted 5 days ago
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*Position Summary:*
Responsible for the administration and analysis of functions associated with the importation of goods by Gordon Food Service Canada. Key priority is to oversee the Company’s strict adherence to a set of formal policies and procedures designed to ensure compliance with all applicable rules and regulations. The position will be responsible for performing review and risk assessment of all items offered for import, as well as management of the Company post entry verification programs.
*Location:*
The successful candidate should be able to commute to the Milton DC, at least 4 days a week.
*Essential Functions:*
- Provide preliminary review, assessment and approval of all new items offered for import by Gordon Food Service Canada
- Identify items and areas of high compliance risk, consult and advise leadership for potential exposure
- Manage shared tariff bases of classifications, tariff rates, TT, origin, and other import data elements
- Maintain an internal reference library to assist decisions about tariff classification, valuation, preferential claims
- Maintain and promote the use of a manual of customs compliance policies and procedures
- Manage post entry verification programs, and oversee individual and blanket corrections of customs records
- Apply and maintain an SOP governing the working relationship with Canadian customs brokers
- Track accuracy of customs entries, as well as billing of brokerage, duty, and OGD fees.
- Serve as the liaison between AP, Cost, Finance, and customs compliance teams
- Support customs compliance projects such as CBSA compliance verifications, and refund claims
- Interpret new customs policies and regulations in order to establish new processes and procedures needed to ensure the Company meets its compliance responsibilities.
- Performs other duties as assigned.
*Knowledge / Skills / Abilities:*
- In-depth understanding of tariff classification principles (GIR)
- In-depth understanding of customs valuation methods and application of FTA specific rules of origin
- Ability to maintain and analyse large tariff bases of foreign vendors and imported items
- Knowledge and experience in filing individual and blanket corrections
- Experience with imports regulated by CFIA and GAC (primarily TRQ subject goods)
- Must have excellent written, verbal, organizational and communication skills as well as problem-solving capabilities.
- Excellent time management and organizational skills with ability to manage multiple projects simultaneously.
- Results oriented with strong determination to succeed.
- Positive attitude with a commitment to learning and desire for personal and professional growth.
We thank all applicants for their interest, however only those selected for the next stage will be contacted. Gordon Food Service is an equal opportunity employer who strives to provide an inclusive work environment that involves everyone and embraces the diverse talent of its people. All qualified applicants and employees will receive consideration for employment, or in terms or conditions of employment, without regard to any enumerated or analogous grounds of discrimination, including race, religious beliefs, colour, gender, gender identity, gender expression, physical disability, mental disability, age, ancestry, place of origin, marital status, source of income, family status, sexual orientation or status as a qualified individual with disability.
If you require reasonable accommodation for any part of the application or hiring process due to a disability, please submit your request to and use the words “Accommodation Request” in your subject line.
Quality, Safety, Risk Management Manager
Posted today
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Job Description
Company Description
Spectrum Health Care is hiring a Quality, Safety, and Risk Management Manager in Toronto . A leader in the home health care industry, Spectrum Healthcare is re-imagining home care for clients and families to provide products and services they need, whenever care is required, delivered by the most qualified and compassionate staff.
The Quality, Safety, and Risk Management Manager will oversee patient safety, quality, and risk management across our homecare services and programs. This pivotal role ensures the highest standards of safety, quality, and regulatory compliance while driving a culture of continuous improvement and patient-centered care.
By joining Spectrum Health Care you will be part of one of Canada’s Best Managed companies and a committed member of a team of highly skilled healthcare professionals.
Job Description- Design and execute Corporate Quality Program, including incident reporting, investigations, and root cause analyses
- Lead risk assessments for clinical programs and manage incidents via the Quality Reporting System (QRS)
- Collaborate with clinical teams, operations, HR, and leadership to integrate quality and safety into daily practice
- Develop and implement corrective actions and improvement plans to promote safe, high-quality care
- Promote a just culture of safety, balancing accountability with learning, and engage teams in safety and quality initiatives
- Support staff education on safety, quality, and risk management best practices.
- Co-lead the Quality and Safety Sub-Committee and represent Spectrum on provincial safety initiatives
- Bachelor’s degree in Nursing, Health Sciences, or related field (Master’s preferred)
- Certification in Quality, Patient Safety, or Risk Management (e.g., CPHQ, CPPS, CRM) is an asset
- 3-5+ years of leadership experience in safety, quality, or risk management, ideally within homecare or community healthcare
- Expert knowledge of healthcare regulations, accreditation standards, and quality improvement methodologies
Additional Information
Spectrum Health Care is thrilled to be named one of Canada’s Best Managed Companies. This award recognizes top companies across Canada for overall performance, sustained growth, strategy, capabilities and innovation, culture and commitment, and leadership. Click here to learn more about this esteemed honour.
We thank all applicants, however, only those individuals selected for interviews will be contacted.
In accordance with the Accessibility for Ontarians with Disabilities Act 2005, upon request, support will be provided for accommodations throughout the recruitment process.
If you require accommodation because of disability through the recruitment process, please contact Human Resources at ( ) for assistance.
Spectrum Health Care is committed to fostering, cultivating and building a culture of diversity, equity and inclusion within our organization. We strive to attract, engage and develop a workforce that reflects the diverse communities that we serve and we know a diverse workforce is key to the growth and success of our organization.
Senior Manager, Risk Management & Taxation
Posted today
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Job Description
The Senior Manager, Risk Management and Taxation leads, manages and is accountable for overseeing all aspects of tax compliance as well as providing oversight of the Risk and Controls Program. The Senior Manager provides financial advisory services to assist in planning and adapting to changes in the regulatory regime.
The Risks and Controls workgroup partners with the other areas of the company to ensure a strong environment for internal controls. It does this by establishing and developing the Risk and Controls framework and providing guidance to the businesses to execute against this framework.
The Senior Manager works with a wide network of internal and external contacts and leads a team of analysts.
Special requirements and working conditions include occasional overnight travel and work outside regular business hours to meet deadlines, as needed.
Position Requirements:
Education and Experience:
- Canadian professional accounting designation (CPA) and is a member in good standing. Indicate the year of CPA designation.
Note: If your designation was obtained from outside of Canada, you will need to confirm it has been assessed for equivalency through an applicable Canadian Accounting Association. - Recent, related experience must have occurred in the last 5 years and must include the following:
- Minimum of 2 years of recent, related experience as a financial manager, leading financial compliance, taxation for an organization with multiple business units.
- Providing expert advice and recommendations to improve financial advice, stewardship and services.
- 2 years minimum supervisory experience or leading a team in financial and/or administrative roles.
- Preference may be given to candidates with any of the following experience:
- Experience in enterprise risk management.
- Financial experience in a wholesale/retail distribution environment.
- Auditing experience including assessment of internal controls.
Senior Manager, Risk Management & Taxation
Posted today
Job Viewed
Job Description
Job Description
The Senior Manager, Risk Management and Taxation leads, manages and is accountable for overseeing all aspects of tax compliance as well as providing oversight of the Risk and Controls Program. The Senior Manager provides financial advisory services to assist in planning and adapting to changes in the regulatory regime.
The Risks and Controls workgroup partners with the other areas of the company to ensure a strong environment for internal controls. It does this by establishing and developing the Risk and Controls framework and providing guidance to the businesses to execute against this framework.
The Senior Manager works with a wide network of internal and external contacts and leads a team of analysts.
Special requirements and working conditions include occasional overnight travel and work outside regular business hours to meet deadlines, as needed.
Position Requirements:
Education and Experience:
- Canadian professional accounting designation (CPA) and is a member in good standing. Indicate the year of CPA designation.
Note: If your designation was obtained from outside of Canada, you will need to confirm it has been assessed for equivalency through an applicable Canadian Accounting Association. - Recent, related experience must have occurred in the last 5 years and must include the following:
- Minimum of 2 years of recent, related experience as a financial manager, leading financial compliance, taxation for an organization with multiple business units.
- Providing expert advice and recommendations to improve financial advice, stewardship and services.
- 2 years minimum supervisory experience or leading a team in financial and/or administrative roles.
- Preference may be given to candidates with any of the following experience:
- Experience in enterprise risk management.
- Financial experience in a wholesale/retail distribution environment.
- Auditing experience including assessment of internal controls.
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