118 Compliance Officer jobs in Canada

Job Description

Description

At CI, we see a great place to work as one that is a safe place for everyone to have a voice, where people are empowered to take ownership over meaningful work, where there is an opportunity to grow through stretching themselves, where they can work on innovative products and projects, and where employees are supported and engaged in doing so.

We are currently seeking a Compliance Officer to join our Compliance team. In this role, the successful candidate is expected to assist in the regulatory Compliance program for the Investment Fund Manager and Exempt Market Dealer. In particular, 81-105 sales practices and 81-102 sales communication and marketing and communications.  Provide a range of compliance support services to sales, marketing, institutional business and back-office operations.

What You Will Do

• Coordinate directly with wide range of stakeholders across the organization to resolve issues, as required
• Apply policies and regulatory rules to respond to compliance related inquiries
• Assist in creation and documentation of new processes and procedure for new compliance initiatives and controls, ensuring applicable securities law and National Instrument rules are adhered to.
• Assist in the creation of new policies and guidelines to reflect new or changing regulatory/industry standards or corporate developments.
• Participate and lead special projects, as needed
• Ability to multi-task and work effectively and efficiently in a fast-paced, frequently changing environment
• Support in the review of all product and wholesaling marketing and sales communications materials, including (but not limited to) the below for adherence to applicable policies and regulations:
• Advisor and investor-facing materials
• Website content
• Product profile sheets
• Support in maintaining sales communication checklists for retail and institutional sales as they relate specifically to investment fund products/content
• Support in the review of retail sales practices activities relating to the adherence of regulatory requirements and internal policies and guidelines.
• Support in maintaining sales practices policy and guidelines as well as training contents and materials.

What You Will Bring
 

• Superior analytical skills, capable of advising across a range of compliance matters
• Post-secondary education plus Canadian Securities Course (CSC), the Conduct and Practices Handbook (CPH) or other industry related designations an asset.
• Thorough working knowledge of National Instruments 81-102, 81-105 and at least 3 years working experience in a mutual fund manager compliance department
• In depth knowledge of the financial industry including investment fund regulations and applicable National Instruments
• Strong communication skills, verbal and written
• Experience in Salesforce, Concur, Tableau software an asset
• Experience in providing training to a large group of Sales staff
• Superior and versatile analytical skills, capable of advising across a range of compliance matters
• Ability to multi-task and work effectively and efficiently in a fast-paced, frequently changing environment
• Proficient in understanding, identification, and assessment of internal controls for the purposes of assessing the effectiveness of their design

CI Financial is an independent company offering global wealth management and asset management advisory services through diverse financial services firms. Since 1965, we have consistently anticipated and responded to the changing needs of investors. We are driven by a commitment to provide individuals and institutions with the highest-quality investments and advice.

Our commitment to the highest levels of performance means that whatever their position, CI employees must be comfortable in a fast-paced environment that will stretch them to tap into their highest potential. Employees with a healthy dose of ambition, a desire to commit to a curious mindset for continuous learning, and a willingness to go the extra mile thrive at CI. 

WHAT WE OFFER

• Modern HQ location within walking distance from Union Station
• Training Reimbursement
• Paid Professional Designations
• Employee Share Purchase Program (ESPP)
• Corporate Discount Program
• Enhanced group benefits
• Parental Leave Top–up program
• Fitness membership discounts
• Paid Volunteer Days

We are focused on building a diverse and inclusive workforce. If you are excited about this role and are not confident you meet all the qualification requirements, we encourage you to apply to investigate the opportunity further.

Please submit your resume in confidence by clicking “Apply”. Only qualified candidates selected for an interview will be contacted. CI Financial Corp. and all of our affiliates (“CI”) are committed to fair and accessible employment practices and provide reasonable accommodations for persons with disabilities. If you require accommodations in order to apply for any job opportunities, require this posting in an additional format, or require accommodation at any stage of the recruitment process please contact us at , or call ext. 4747.

Position Title: Compliance Officer

Location: Toronto, ON

Status: Full-Time

Position Overview:

Our client is seeking a detail-oriented and proactive Compliance Officer to join our team. This role provides a unique opportunity to contribute to a strong culture of compliance within a dynamic financial services environment. The successful candidate will support the Compliance team in monitoring regulatory requirements, maintaining policies and procedures, and helping ensure adherence to internal and external obligations.

Key Responsibilities:

Regulatory Compliance Support

●Provide timely guidance to employees regarding regulatory obligations and firm policies.

●Respond to internal inquiries.

●Monitor for regulatory changes and assist in communicating updates across the organization.

Employee Trading & Surveillance

●Assist with the review and monitoring of employee personal trading activity.

●Contribute to trade surveillance activities on a daily, weekly, monthly, quarterly, and annual

basis.

Regulatory Inquiries & Incident Management

●Support the team in responding to regulatory requests and inquiries.

●Assist in investigating potential compliance issues.

Policies & Procedures

●Help maintain and update compliance policies and procedures to reflect current regulatory

requirements.

●Draft and revise documents as needed—experience in policy writing is considered an asset.

Regulatory Research

●Stay current on regulatory developments, industry trends, and best practices.

Training & Awareness

●Promote a culture of compliance by supporting awareness initiatives and training programs

●Provide guidance and respond to employee inquiries related to regulatory obligations.

Documentation & Record-Keeping

●Maintain accurate records of compliance policies, procedures, and reports.

●Assist in drafting, updating, and organizing compliance documentation to ensure it remains

current and accessible.

Requirements:

Skills and Qualifications:

●Bachelor's degree in Finance, Law, Business, or a related field.

●Proven experience in compliance or regulatory roles within the financial services industry.

●Strong knowledge of Canadian financial regulations and industry best practices.

●Excellent analytical and problem-solving abilities.

●Strong written and verbal communication skills.

●Highly organized, detail-oriented, and able to manage multiple priorities.

●Ability to work independently and collaboratively within a team environment.

●Proficiency in Microsoft Office and relevant compliance tools; familiarity with PositionWatch,

OneTick, and NRD is an asset.

●Completion of the Canadian Commodity Supervisors Exam (CCSE) is considered an asset.

Excellent Benefits & Perks:

The successful candidate will be rewarded with a competitive salary based on skills and experience. You'll also be entitled to an excellent benefits package, including:

• Professional development opportunities
• Supportive team environment with growth potential

This role offers an exciting opportunity for a Compliance Officer to make a meaningful impact. If you are enthusiastic about joining a dynamic team and contributing to organizational success, we encourage you to apply!

GO2STAFFING doesn't believe candidates are defined by their CVs, or that computers should be scanning your cover letters. We look beyond your resume to get to know the real YOU!

Feel free to visit our website at

Position Title: Compliance Officer

Location: Toronto, ON

Status: Full-Time

Position Overview:

Our client is seeking a detail-oriented and proactive Compliance Officer to join our team. This role provides a unique opportunity to contribute to a strong culture of compliance within a dynamic financial services environment. The successful candidate will support the Compliance team in monitoring regulatory requirements, maintaining policies and procedures, and helping ensure adherence to internal and external obligations.

Key Responsibilities:

Regulatory Compliance Support

●Provide timely guidance to employees regarding regulatory obligations and firm policies.

●Respond to internal inquiries.

●Monitor for regulatory changes and assist in communicating updates across the organization.

Employee Trading & Surveillance

●Assist with the review and monitoring of employee personal trading activity.

●Contribute to trade surveillance activities on a daily, weekly, monthly, quarterly, and annual

basis.

Regulatory Inquiries & Incident Management

●Support the team in responding to regulatory requests and inquiries.

●Assist in investigating potential compliance issues.

Policies & Procedures

●Help maintain and update compliance policies and procedures to reflect current regulatory

requirements.

●Draft and revise documents as needed—experience in policy writing is considered an asset.

Regulatory Research

●Stay current on regulatory developments, industry trends, and best practices.

Training & Awareness

●Promote a culture of compliance by supporting awareness initiatives and training programs

●Provide guidance and respond to employee inquiries related to regulatory obligations.

Documentation & Record-Keeping

●Maintain accurate records of compliance policies, procedures, and reports.

●Assist in drafting, updating, and organizing compliance documentation to ensure it remains

current and accessible.

Requirements:

Skills and Qualifications:

●Bachelor's degree in Finance, Law, Business, or a related field.

●Proven experience in compliance or regulatory roles within the financial services industry.

●Strong knowledge of Canadian financial regulations and industry best practices.

●Excellent analytical and problem-solving abilities.

●Strong written and verbal communication skills.

●Highly organized, detail-oriented, and able to manage multiple priorities.

●Ability to work independently and collaboratively within a team environment.

●Proficiency in Microsoft Office and relevant compliance tools; familiarity with PositionWatch,

OneTick, and NRD is an asset.

●Completion of the Canadian Commodity Supervisors Exam (CCSE) is considered an asset.

Excellent Benefits & Perks:

The successful candidate will be rewarded with a competitive salary based on skills and experience. You'll also be entitled to an excellent benefits package, including:

• Professional development opportunities
• Supportive team environment with growth potential

This role offers an exciting opportunity for a Compliance Officer to make a meaningful impact. If you are enthusiastic about joining a dynamic team and contributing to organizational success, we encourage you to apply!

GO2STAFFING doesn't believe candidates are defined by their CVs, or that computers should be scanning your cover letters. We look beyond your resume to get to know the real YOU!

Feel free to visit our website at

Amico is a leading, Canadian-owned and operated construction company specializing in large-scale infrastructure projects. With a strong track record in general contracting, civil engineering and road building, we deliver complex infrastructure solutions that shape the communities of Ontario. Our expertise spans major infrastructure projects, including highways, bridges, and critical public works that require meticulous planning, innovative engineering, and precise execution.

At Amico , we believe in fostering collaboration and empowering our team to tackle ambitious challenges head-on. By leveraging cutting-edge technology and proven project management practices, we consistently deliver high-quality infrastructure projects, regardless of their scale or complexity.

If you're ready to be part of a team that plays a pivotal role in Ontario's most impactful infrastructure developments, while gaining hands-on experience with industry-leading projects, we invite you to join us.

The project you will you be working on:

The Ontario Line (“OL”) is a fully integrated, stand-alone, rapid transit system that connects Ontario Science Centre to the Exhibition and Ontario Place grounds. The Northern Civil, Stations and Tunnel (“NC”) project consists of approximately 7 kms of underground subway and elevated guideway, with stations along the segment providing connections to surface bus and streetcar routes. The NC project has been divided into two main progressive design-build contracts: (1) the Elevated Guideways and Stations Contract (“EGS”) and the Pape Tunnel and Underground Station Contract (“PTUS”), with supporting Early Works.

Position Summary:

The Compliance Officer will oversee adherence to regulatory, contractual, environmental, and safety standards on the project. This role will be working closely with legal, quality assurance, health & safety, and environmental teams, ensuring that project activities align with internal policies and external obligations including P3 requirements, applicable laws, and client expectations.

Key Responsibilities:

Regulatory Compliance:

• Monitor and ensure compliance with local, provincial, and federal legislation, including but not limited to occupational health and safety, environmental regulations, labour laws, and transit authority requirements.
• Interpret contract documents to ensure obligations (especially in design-build-finance-maintain arrangements) are met throughout the project lifecycle.

Internal Controls:

• Develop, implement, and maintain the project compliance management system.
• Conduct internal audits, reviews, and assessments to identify non-compliance issues and recommend corrective actions.
• Coordinate with legal and executive teams to interpret compliance risks.

Reporting & Documentation:

• Maintain up-to-date records of compliance checks, audit results, and mitigation strategies.
• Prepare compliance reports for internal stakeholders, public agencies, and project financiers as required under P3 and project agreements.

Stakeholder Coordination:

• Act as a liaison between Trillium Guideway Partners and stakeholders such as Metrolinx, Infrastructure Ontario, and regulatory agencies.
• Support external audits and facilitate information sharing across consortium partners.

Training & Awareness:

• Provide compliance training and awareness programs to staff and subcontractors.
• Promote a culture of ethical compliance and regulatory awareness across all project functions.

Qualifications:

• Bachelor's degree in Law, Business Administration, Engineering, Construction Management, or related field.
• Minimum 5–7 years of experience in compliance, audit, or risk management on large infrastructure or transit projects, preferably under P3 delivery models.
• Strong knowledge of Ontario’s regulatory environment, construction law, and public procurement standards.
• Familiarity with ISO standards (e.g., 9001, 14001, 45001) and Environmental, Health & Safety compliance frameworks.
• Exceptional attention to detail, organizational, and analytical skills.
• Strong written and verbal communication and reporting abilities.
• Experience working with multidisciplinary project teams and multiple stakeholders.

Preferred Assets:

• Professional certifications such as CCEP (Certified Compliance & Ethics Professional), PMP, or related.
• Bilingual (English/French) is considered an asset.

What Amico Can Offer You:

• Competitive Salary
• Medical, dental, and vision insurance
• Employer Matching Retirement Program
• Life insurance

At Amico, we are committed to providing an environment of mutual respect where equal opportunities are available to all applicants and teammates. Accommodation is available upon request for applicants throughout the recruitment and selection process.

We thank all applicants for their interest. However, only those selected for an interview will be contacted.

Strictly no third-party resumes accepted.