500 Hr Compliance jobs in Canada
Regulatory Compliance Lead
Posted today
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Job Description
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.
Quality & Regulatory Compliance Specialist
Posted 3 days ago
Job Viewed
Job Description
Hybrid
Mississauga, ON
Senior Level
# **About the role**
Quality & Regulatory Compliance Specialist
**Job Details**
**Job Title:** Quality & Regulatory Compliance Specialist
**Location:** Mississauga
**Work Arrangement:** Hybrid
**About the Role**
**Position function:** The position reports to the Quality & Regulatory Compliance Supervisor and is responsible for implementing and continuously improving Food Quality and Safety Programs, maintaining compliance with regulations, customer requirements and 3rd party certifications (for example organic, NHP, GL, Kosher) for all North American Facilities. This role contributes to product commercialization, supplier qualification, and compliance with both customer requirements and regulatory standards.
**Scope:** This position plays a key role in day-to-day execution of quality and regulatory compliance activities, with a focus on ingredient and supplier approvals, risk assessments, certification support, and the review of regulatory documentation.
**Key Responsibilities**
- Conduct and maintain vendor and manufacturer approvals, including data collection, document review, risk assessment and supplier onboarding.
- Perform risk assessments on new or modified products.
- Review and approve new ingredients for commercialization in alignment with regulatory and quality standards.
- Provide regulatory and quality support during product development and commercialization.
- Assist with annual certification applications and renewals (Kosher, Organic, Non-GMO Project Verification, Halal, etc.).
- Complete Regulatory and Quality tasks associated with approved change controls
- Participate in ingredient substitutions by reviewing quality and regulatory implications; provide documented recommendations.
- Facilitate the completion of customer forms and questionnaires related to product quality, certifications, and compliance.
- Support various Regulatory and Quality projects, including documentation updates, system improvements, and cross-functional initiatives.
- Perform all other duties as assigned by the Supervisor or Technical Team leadership.
**Knowledge/Skills & Experiences**
- BSc degree, preferably in Food Science or a related discipline
- Minimum 3 years of QA and/or Regulatory work experience in a food manufacturing environment
- Solid understanding of GFSI standards and HACCP principles.
- Familiarity with regulatory agencies and certification bodies: CFIA, FDA, Organic, NHPD, Kosher, etc.
- Strong organizational and time management skills with attention to detail.
- Effective problem-solving skills with a proactive approach.
- Strong written and verbal communication skills.
- Ability to collaborate across departments and communicate with external stakeholders.
**About Caldic**
At Caldic, we’re a global leader in distribution solutions, serving diverse markets across the world. Joining us means becoming part of an entrepreneurial, collaborative, and innovation-driven team.
**We offer:**
- **Global opportunities** with rapid career growth and development
- An inclusive, diverse, and dynamic work environment
- The chance to shape the future of specialty ingredient solutions across industries like food, pharma, personal care, and more
We operate in 43 countries around the world. Our innovative solutions are tailored to meet the needs of industries such as food, pharma, personal care, and industrial markets, ensuring sustainable success for all stakeholders. To learn more, visit: to Join Us?**
If you're ready to take your career to the next level and join a global leader, apply now at Caldic!
**Equal Opportunity Employer**
Caldic celebrates diversity and is committed to fostering an inclusive work environment. We do not discriminate on the basis of race, religion, gender, or any other characteristic.
**Location:**Mississauga, ON, CA
**City:** Mississauga
**State:** ON
**Country/Region:** CA
# **About** **Caldic North America**
Food and Beverage Manufacturing
201-500
Caldic is headquartered in Rotterdam, the Netherlands operating with 23 companies and 45 sites in 17 countries throughout Europe, Asia-Pacific and North-America.
Think GLOBAL - Act LOCAL
The Caldic Advantage
Caldic serves as a one-stop shop meeting all the needs of the food industry – sourcing, research and development focusing on tailor-made innovative solutions, processing, and warehousing & distribution. This full range of services is something unique in the food industry. Together with our commitment to customer service excellence is what we like to call the Caldic Advantage.
With our global network of world class suppliers, we are able to source the very finest ingredients and stay abreast of innovations and developments in the industry, we have immediate access to new products and ingredients that add the "Magic" to transform your products from good to great. We are proud to say that we are able to bring ingredients from around the world to your door.
What distinguishes Caldic and what truly translates to a competitive advantage for our customers is our focus on delivering specialized made-to-order innovative solutions. We are not just your distribution partner … we are your knowledge partner.
DESIGN Our in-house R&D and Regulatory teams can turn your ideas into commercial and profitable products.
DEVELOP Our manufacturing capabilities allow us to blend & package to your specifications.
DELIVER We offer more than 5,000 ingredients from over 300 suppliers offering solutions to any formulating challenges.
Quality & Regulatory Compliance Supervisor
Posted 3 days ago
Job Viewed
Job Description
**Job Details**
**Job Title:** Quality & Regulatory Compliance Supervisor
**Location:** Mississauga
**Work Arrangement:** Hybrid
**About the Role**
Position function: The position reports to the Director of Quality NA and is responsible for implementing and continuously improving Food Quality and Safety Programs, ensuring regulatory compliance, and maintaining third-party certifications (e.g., Organic, NHP, Kosher, Gluten-Free) across all North American facilities. This role plays a key part in supporting the commercialization of new products and ensuring adherence to both internal standards and customer requirements.
Scope: The Quality & Regulatory Compliance Supervisor is responsible for ensuring that food safety, quality, and regulatory compliance programs are implemented, maintained, and continuously improved across all Caldic North American food manufacturing facilities, with a primary focus on the Mississauga site.
**Key Responsibilities**
- Oversee Caldic North America’s vendor and manufacturer approval and maintenance process; assist with supplier audits.
- Lead risk assessments on new or modified products.
- Oversee the review and approval of new ingredients for commercialization.
- Provide quality and regulatory support to the multidisciplinary product commercialization team.
- Participate in ingredient replacement/substitution evaluation process by reviewing Quality and Regulatory sections and providing recommendations on the suggested alternatives.
- Oversee the completion of customer forms and questionnaires related to product quality, certifications, and compliance.
- Coordinate and deliver Executive QA reports on quality and compliance metrics.
- Support cross-functional Regulatory and Quality initiatives, including projects and audits.
- Provide backup support for training programs and complaints management within the QA team.
- Perform other duties as assigned.
**Knowledge/Skills & Experiences**
- BSc degree, preferably in Food Science or a related discipline
- Minimum 7 years of QA and/or Regulatory work experience in a food manufacturing environment
- Strong working knowledge of GFSI and HACCP programs
- Experience working in a BRC or SQF certified facility.
- Familiarity with North American regulatory and certification bodies: CFIA, FDA, Organic, NHPD, Kosher, etc.
- Strong organizational, time management, and problem-solving skills.
- Excellent written and verbal communication skills; effective interpersonal and cross-functional collaboration.
- Proven leadership skills and the ability to work both independently and as part of a team.
**About Caldic**
At Caldic, we’re a global leader in distribution solutions, serving diverse markets across the world. Joining us means becoming part of an entrepreneurial, collaborative, and innovation-driven team.
**We offer:**
- **Global opportunities** with rapid career growth and development
- An inclusive, diverse, and dynamic work environment
- The chance to shape the future of specialty ingredient solutions across industries like food, pharma, personal care, and more
We operate in 43 countries around the world. Our innovative solutions are tailored to meet the needs of industries such as food, pharma, personal care, and industrial markets, ensuring sustainable success for all stakeholders. To learn more, visit:
**Ready to Join Us?**
If you're ready to take your career to the next level and join a global leader, apply now at Caldic!
**Equal Opportunity Employer**
Caldic celebrates diversity and is committed to fostering an inclusive work environment. We do not discriminate on the basis of race, religion, gender, or any other characteristic.
**Location:**Mississauga, ON, CA
**City:** Mississauga
**State:** ON
**Country/Region:** CA
Quality & Regulatory Compliance Specialist
Posted 3 days ago
Job Viewed
Job Description
**Job Details**
**Job Title:** Quality & Regulatory Compliance Specialist
**Location:** Mississauga
**Work Arrangement:** Hybrid
**About the Role**
**Position function:** The position reports to the Quality & Regulatory Compliance Supervisor and is responsible for implementing and continuously improving Food Quality and Safety Programs, maintaining compliance with regulations, customer requirements and 3rd party certifications (for example organic, NHP, GL, Kosher) for all North American Facilities. This role contributes to product commercialization, supplier qualification, and compliance with both customer requirements and regulatory standards.
**Scope:** This position plays a key role in day-to-day execution of quality and regulatory compliance activities, with a focus on ingredient and supplier approvals, risk assessments, certification support, and the review of regulatory documentation.
**Key Responsibilities**
- Conduct and maintain vendor and manufacturer approvals, including data collection, document review, risk assessment and supplier onboarding.
- Perform risk assessments on new or modified products.
- Review and approve new ingredients for commercialization in alignment with regulatory and quality standards.
- Provide regulatory and quality support during product development and commercialization.
- Assist with annual certification applications and renewals (Kosher, Organic, Non-GMO Project Verification, Halal, etc.).
- Complete Regulatory and Quality tasks associated with approved change controls
- Participate in ingredient substitutions by reviewing quality and regulatory implications; provide documented recommendations.
- Facilitate the completion of customer forms and questionnaires related to product quality, certifications, and compliance.
- Support various Regulatory and Quality projects, including documentation updates, system improvements, and cross-functional initiatives.
- Perform all other duties as assigned by the Supervisor or Technical Team leadership.
**Knowledge/Skills & Experiences**
- BSc degree, preferably in Food Science or a related discipline
- Minimum 3 years of QA and/or Regulatory work experience in a food manufacturing environment
- Solid understanding of GFSI standards and HACCP principles.
- Familiarity with regulatory agencies and certification bodies: CFIA, FDA, Organic, NHPD, Kosher, etc.
- Strong organizational and time management skills with attention to detail.
- Effective problem-solving skills with a proactive approach.
- Strong written and verbal communication skills.
- Ability to collaborate across departments and communicate with external stakeholders.
**About Caldic**
At Caldic, we’re a global leader in distribution solutions, serving diverse markets across the world. Joining us means becoming part of an entrepreneurial, collaborative, and innovation-driven team.
**We offer:**
- **Global opportunities** with rapid career growth and development
- An inclusive, diverse, and dynamic work environment
- The chance to shape the future of specialty ingredient solutions across industries like food, pharma, personal care, and more
We operate in 43 countries around the world. Our innovative solutions are tailored to meet the needs of industries such as food, pharma, personal care, and industrial markets, ensuring sustainable success for all stakeholders. To learn more, visit:
**Ready to Join Us?**
If you're ready to take your career to the next level and join a global leader, apply now at Caldic!
**Equal Opportunity Employer**
Caldic celebrates diversity and is committed to fostering an inclusive work environment. We do not discriminate on the basis of race, religion, gender, or any other characteristic.
**Location:**Mississauga, ON, CA
**City:** Mississauga
**State:** ON
**Country/Region:** CA
Quality & Regulatory Compliance Supervisor
Posted 3 days ago
Job Viewed
Job Description
Hybrid
Mississauga, ON
Mid Level
# **About the role**
Quality & Regulatory Compliance Supervisor
**Job Details**
**Job Title:** Quality & Regulatory Compliance Supervisor
**Location:** Mississauga
**Work Arrangement:** Hybrid
**About the Role**
Position function: The position reports to the Director of Quality NA and is responsible for implementing and continuously improving Food Quality and Safety Programs, ensuring regulatory compliance, and maintaining third-party certifications (e.g., Organic, NHP, Kosher, Gluten-Free) across all North American facilities. This role plays a key part in supporting the commercialization of new products and ensuring adherence to both internal standards and customer requirements.
Scope: The Quality & Regulatory Compliance Supervisor is responsible for ensuring that food safety, quality, and regulatory compliance programs are implemented, maintained, and continuously improved across all Caldic North American food manufacturing facilities, with a primary focus on the Mississauga site.
**Key Responsibilities**
- Oversee Caldic North America’s vendor and manufacturer approval and maintenance process; assist with supplier audits.
- Lead risk assessments on new or modified products.
- Oversee the review and approval of new ingredients for commercialization.
- Provide quality and regulatory support to the multidisciplinary product commercialization team.
- Participate in ingredient replacement/substitution evaluation process by reviewing Quality and Regulatory sections and providing recommendations on the suggested alternatives.
- Oversee the completion of customer forms and questionnaires related to product quality, certifications, and compliance.
- Coordinate and deliver Executive QA reports on quality and compliance metrics.
- Support cross-functional Regulatory and Quality initiatives, including projects and audits.
- Provide backup support for training programs and complaints management within the QA team.
- Perform other duties as assigned.
**Knowledge/Skills & Experiences**
- BSc degree, preferably in Food Science or a related discipline
- Minimum 7 years of QA and/or Regulatory work experience in a food manufacturing environment
- Strong working knowledge of GFSI and HACCP programs
- Experience working in a BRC or SQF certified facility.
- Familiarity with North American regulatory and certification bodies: CFIA, FDA, Organic, NHPD, Kosher, etc.
- Strong organizational, time management, and problem-solving skills.
- Excellent written and verbal communication skills; effective interpersonal and cross-functional collaboration.
- Proven leadership skills and the ability to work both independently and as part of a team.
**About Caldic**
At Caldic, we’re a global leader in distribution solutions, serving diverse markets across the world. Joining us means becoming part of an entrepreneurial, collaborative, and innovation-driven team.
**We offer:**
- **Global opportunities** with rapid career growth and development
- An inclusive, diverse, and dynamic work environment
- The chance to shape the future of specialty ingredient solutions across industries like food, pharma, personal care, and more
We operate in 43 countries around the world. Our innovative solutions are tailored to meet the needs of industries such as food, pharma, personal care, and industrial markets, ensuring sustainable success for all stakeholders. To learn more, visit: to Join Us?**
If you're ready to take your career to the next level and join a global leader, apply now at Caldic!
**Equal Opportunity Employer**
Caldic celebrates diversity and is committed to fostering an inclusive work environment. We do not discriminate on the basis of race, religion, gender, or any other characteristic.
**Location:**Mississauga, ON, CA
**City:** Mississauga
**State:** ON
**Country/Region:** CA
# **About** **Caldic North America**
Food and Beverage Manufacturing
201-500
Caldic is headquartered in Rotterdam, the Netherlands operating with 23 companies and 45 sites in 17 countries throughout Europe, Asia-Pacific and North-America.
Think GLOBAL - Act LOCAL
The Caldic Advantage
Caldic serves as a one-stop shop meeting all the needs of the food industry – sourcing, research and development focusing on tailor-made innovative solutions, processing, and warehousing & distribution. This full range of services is something unique in the food industry. Together with our commitment to customer service excellence is what we like to call the Caldic Advantage.
With our global network of world class suppliers, we are able to source the very finest ingredients and stay abreast of innovations and developments in the industry, we have immediate access to new products and ingredients that add the "Magic" to transform your products from good to great. We are proud to say that we are able to bring ingredients from around the world to your door.
What distinguishes Caldic and what truly translates to a competitive advantage for our customers is our focus on delivering specialized made-to-order innovative solutions. We are not just your distribution partner … we are your knowledge partner.
DESIGN Our in-house R&D and Regulatory teams can turn your ideas into commercial and profitable products.
DEVELOP Our manufacturing capabilities allow us to blend & package to your specifications.
DELIVER We offer more than 5,000 ingredients from over 300 suppliers offering solutions to any formulating challenges.
Senior Regulatory Compliance Specialist
Posted today
Job Viewed
Job Description
Job Description
Salary:
SENIOR REGULATORY COMPLIANCE SPECIALIST, Successful Investor Wealth Management Inc.
We are an established wealth management and investment publishing firm with 25+ years experience in subscription marketing and independent portfolio management with assets under management of $1 billion and growing. We are transforming our business and experiencing significant growth, and as a result, we are looking fordevelopment-oriented individuals to join our organization.
As a registered firm under the Ontario Securities Commission (OSC), we prioritize integrity, fiduciary responsibility, and regulatory excellence. We are currently seeking a Senior Regulatory Compliance Specialist to work alongside our CCO to help ensure our continued adherence to securities laws and regulatory best practices in a dynamic,client-focused environment. We are looking for a candidate committed to the area ofcompliance, seeking to advance their experience within the wealth managementlandscape and grow their responsibilities long term.
The Senior Regulatory Compliance Specialist plays a critical role in maintaining our firms compliance with applicable regulations and governing bodies, including those under the Ontario Securities Act, FINTRAC, CRA and OSC guidelines. This role will support our Chief Compliance Officer in managing day-to-day compliance operations,implementing compliance programs, and preparing for regulatory reviews and audits. In addition to primarily supporting compliance efforts, this role will also gain broad exposure to overall wealth management operations while participating in trade support and other administrative functions.
KEY RESPONSIBILITIES:
Regulatory Compliance & Monitoring
- Monitor, interpret, and implement changes in OSC regulations, securities legislation, and other applicable rules, including FINTRAC and AML.
- Assist with ongoing review and enhancement of SIWMs compliance framework, policies, and internal controls.
- Conduct periodic and ad-hoc internal compliance audits and risk assessments across relevant business activities; provide annual updates to the board as required.
- Support the maintenance of an effective compliance calendar to ensure all reporting and requirements are completed as required, within prescribed timelines.
- Support with investigating and responding to any client complaints or concerns pertaining to portfolio management activities.
Registration & Reporting
- Assist with the preparation and coordination of regulatory filings, reporting, surveys, and audits.
- Manage ongoing compliance with Know-Your-Client (KYC), suitability, and client documentation obligations.
Internal Advisory & Training
- Serve as a subject matter expert for staff on regulatory issues, suitability, conflicts of interest, and other compliance matters.
- Provide compliance training and guidance to management, portfolio managers, and operational staff.
- Review all external communications, i.e., marketing material and investor communications, for regulatory compliance.
Audit & Examination Support
- Coordinate with internal and external auditors for compliance reviews.
- Prepare documentation and responses for OSC, FINTRAC, and CRA Pooled Fund Audits, compliance reviews, and regulatory inquiries.
- Act as the secondary contact person for OSC, FINTRAC, and CRA Pooled Funds audits.
Trading Execution, Management, and Reconciliation
- Execution of stock trades on behalf of the firm and its clients.
- Monitor trade activity to ensure compliance with regulatory and internal guidelines.
- Track order status for trade confirmations and settlements; Resolve issues such as failed trades or mismatches.
- Log FX conversions and reconcile trades at the end of the day to ensure accuracy.
- Generate and distribute trading reports to internal stakeholders and clients.
- Investigate and resolve trade breaks or discrepancies.
- Additional ad-hoc trade-related requests as required.
Other
- Help optimize operational workflows and reduce manual errors within the scope
of the role. - Provide administrative support in other areas of Wealth Management as qualified and able, including Portfolio Management, Fund Accounting, and Client Services.
REQUIREMENTS (Qualifications, Experience & Skills):
Required:
- Bachelors degree in law, Finance/Accounting, Business, or related field.
- Professional Designation holder of either a Lawyer, CFA, or CPA.
- Completion of the Canadian Securities Course (CSC).
- Completion of the CSI Anti Money Laundering course.
- Minimum 57 years of experience working in regulatory compliance for a CSA-registered company.
- Strong understanding of compliance frameworks and risk management principles, including regulations as prescribed under governing bodies and standards, i.e., OSC, FINTRAC, AML, etc.
- Highly proficient in using Microsoft Excel.
- Excellent command of the English language, both written and verbal.
- Being Registered, and in good standing with the Ontario Securities Commission is considered a strong asset.
- Completion of the Partners, Directors, and Senior Officers (PDO) course.
- Knowledge of laws affecting High Net Worth Investors, including Tax, Estates, and Trusts.
Other Requirements:
- Excellent analytical, communication, and reporting skills.
- High level of integrity and attention to detail; handle a high degree of sensitive and confidential information appropriately.
- Ability to work independently and collaboratively in a fast-paced environment.
- Flexible to work after hours as needed.
- Excellent time management and organizational skills.
- Results-focused with a drive for continuous learning.
- High level of accountability for work and responsibilities.
- Proactive and initiative.
Located near Yonge St. and Sheppard Ave. in North York, Toronto. We are seeking a dynamic and adaptable team member who can thrive in a fast-paced work environment to achieve our goals.
Pre-employment work references, credit and criminal background checks are required.
Successful Investor Wealth Management Inc. welcomes and encourages applications from people with disabilities. Accommodations are available on request for candidates taking part in all aspects of the selection process.
Regulatory Compliance Manager - Remote + Travel
Posted today
Job Viewed
Job Description
Job Description
Regulatory Compliance Manager
Are you ready to elevate your career in manufacturing operations and be a part of creating the world's best desserts? Dessert Holdings partners with some of North America's most iconic chains to bring people together to celebrate life's sweetest moments!
Opportunity Overview
Dessert Holdings is looking for aRegulatory Compliance Manager. The position is remote(Ideal candidate located in or near Toronto, ON, with proximity to our London, ON facility). This individual is responsible for regulatory compliance by ensuring all packaging, specifications, and labeling meets regulatory requirements for the country of sale. This individual is also responsible for reviewing raw materials to determine if they meet regulatory requirements while also supporting the supplier complaint process.
RESPONSIBILITIES
- Create and maintain ingredient declarations and nutrition fact tables/panels for products to ensure compliance with regulations for the country of sale.
- Create and maintain formulation and nutrient values within Genesis R&D Software Program.
- Participate in label reviews and the artwork approval process.
- Support the launch of new products by completing regulatory reviews, customer documentation, and nutrition and ingredient information.
- Review raw material specifications, nutrition facts, and other regulatory documents to ensure compliance is met.
- Manage Master Case Label creation and file maintenance.
- Create and maintain information internal/external customer specifications and information in customer specification portals.
- Support GFSI, Kosher, Halal, and other certification programs and regulatory audits.
- Communicate cross-functionally any current and emerging food labeling issues and related impacts to the business and provide risk-based regulatory reviews of label impacts due to emerging supply chain shortages.
LOCATION :Remoteand 20% Travel within USA/Canada
QUALIFICATIONS
- Bachelor's degree in Food Science, Nutrition, or related science field
- At least 5 years of experience in Regulatory, Quality Assurance, or R&D within the food/bakery industry
- Understanding of Quality Management Systems including GFSI (e.g., SQF, FSC22000, HACCP, GMPs)
- Up-to-date knowledge of FDA/CFIA and other emerging market regulations, policies, and scientific knowledge to ensure labeling and claims requirements are being met
- Team player who can communicate cross-functionally to manage customer-driven requests and provide required technical documents, answers to questions, and support product development
- Excellent computer skills, including MS Office and nutrition software programs
- Excellent communication and relationship-building skills.
- Self-directed, organized, able to meet deadlines, with strong problem-solving skills.
- Ability totravel 20 % within North America (US/Canada), including working in office, laboratory, and production environments
About Dessert Holdings
Dessert Holdings is North America's fastest-growing premium dessert company, recognized for providing retail and foodservice customers with chef-inspired, innovative desserts made with real ingredients, a flexible and low-cost supply chain, and best-in-class service. The company is a collection of premium dessert companies and brands: Steven Charles, The Original Cakerie, Lawler's Desserts, Atlanta Cheesecake Company, Dianne's Fine Desserts, and Kenny's Great Pies. Dessert Holdings is owned by Bain Capital, employing more than 3,200 people across nine manufacturing facilities, and is continuing its journey of rapid growth.
EEO Statement
Dessert Holdings and its related entities provide equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, age, or any other characteristics protected by law.
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Regulatory Compliance Manager (Remote + Travel)
Posted today
Job Viewed
Job Description
Job Description
Regulatory Compliance Manager
Are you ready to elevate your career in manufacturing operations and be a part of creating the world's best desserts? Dessert Holdings partners with some of North America's most iconic chains to bring people together to celebrate life's sweetest moments!
Opportunity Overview
Dessert Holdings is looking for aRegulatory Compliance Manager. The position is remote(Ideal candidate located in or near Toronto, ON, with proximity to our London, ON facility). This individual is responsible for regulatory compliance by ensuring all packaging, specifications, and labeling meets regulatory requirements for the country of sale. This individual is also responsible for reviewing raw materials to determine if they meet regulatory requirements while also supporting the supplier complaint process.
RESPONSIBILITIES
- Create and maintain ingredient declarations and nutrition fact tables/panels for products to ensure compliance with regulations for the country of sale.
- Create and maintain formulation and nutrient values within Genesis R&D Software Program.
- Participate in label reviews and the artwork approval process.
- Support the launch of new products by completing regulatory reviews, customer documentation, and nutrition and ingredient information.
- Review raw material specifications, nutrition facts, and other regulatory documents to ensure compliance is met.
- Manage Master Case Label creation and file maintenance.
- Create and maintain information internal/external customer specifications and information in customer specification portals.
- Support GFSI, Kosher, Halal, and other certification programs and regulatory audits.
- Communicate cross-functionally any current and emerging food labeling issues and related impacts to the business and provide risk-based regulatory reviews of label impacts due to emerging supply chain shortages.
LOCATION :Remote and 20%Travel within USA/Canada
QUALIFICATIONS
- Bachelor's degree in Food Science, Nutrition, or related science field
- At least 5 years of experience in Regulatory, Quality Assurance, or R&D within the food/bakery industry
- Understanding of Quality Management Systems including GFSI (e.g., SQF, FSC22000, HACCP, GMPs)
- Up-to-date knowledge of FDA/CFIA and other emerging market regulations, policies, and scientific knowledge to ensure labeling and claims requirements are being met
- Team player who can communicate cross-functionally to manage customer-driven requests and provide required technical documents, answers to questions, and support product development
- Excellent computer skills, including MS Office and nutrition software programs
- Excellent communication and relationship-building skills.
- Self-directed, organized, able to meet deadlines, with strong problem-solving skills.
- Ability to travel 20 % within North America (US/Canada), including working in office, laboratory, and production environments
About Dessert Holdings
Dessert Holdings is North America's fastest-growing premium dessert company, recognized for providing retail and foodservice customers with chef-inspired, innovative desserts made with real ingredients, a flexible and low-cost supply chain, and best-in-class service. The company is a collection of premium dessert companies and brands: Steven Charles, The Original Cakerie, Lawler's Desserts, Atlanta Cheesecake Company, Dianne's Fine Desserts, and Kenny's Great Pies. Dessert Holdings is owned by Bain Capital, employing more than 3,200 people across nine manufacturing facilities, and is continuing its journey of rapid growth.
EEO Statement
Dessert Holdings and its related entities provide equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, age, or any other characteristics protected by law.
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Legal Counsel, Employment and Regulatory Compliance
Posted 3 days ago
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Job Description
NVA (National Veterinary Associates) is a leading network of over 1,300 locally-branded veterinary hospitals, specialty clinics, and pet resorts across North America, dedicated to supporting exceptional pet care and veterinary teams. Through our unique model, NVA partners with hospitals across North America, empowering each location to retain its local identity and focus while benefiting from NVA's extensive resources, collaborative culture, and commitment to continuous growth and improvement.
Located in Oakville, Ontario, NVA Canada plays a central role within NVA's operations, serving as a key support center and driving the company's mission to support pet health and veterinary excellence across Canada.
Our supportive team operates with a focus on compassionate care, fostering a collaborative environment that encourages innovation and dedication to pet health. As part of a thriving and expansive organization, NVA is a place where professionals who are passionate about animal care and veterinary excellence can make a lasting impact.
Job Summary:
NVA Canada is seeking an adaptable and proactive Legal Counsel to join our legal team, focusing onemployment and regulatory compliance matters. The ideal candidate is a versatile lawyer with a strong ability to navigate a wide array of legal issues, highly organized, and solutions-oriented. This key role within our Canadian support center provides an opportunity to work closely with senior leaders and directly contribute to NVA Canada's success. Additionally, this position includes collaboration with NVA's U.S. legal teams and other business units, supporting cross-border initiatives.
This role allows the successful candidate the flexibility to explore focus areas within the company, develop specialized skills, and make a meaningful impact. It is a hybrid position, offering remote work with occasional in-office days, balancing flexibility with team engagement and collaboration.
Key Responsibilities:
- Employment:
- Develop and update employment agreement and contractor templates and processes to promote consistency and compliance; work with technology services on developing automation solutions
- Advise managers and HR on employment law matters throughout the employment lifecycle, including hiring, employee relations, and terminations.
- Provide guidance on statutory compliance issues, assist in HR-related investigations, and manage responses to regulatory inquiries.
- Conduct training on employment law topics and contribute to multi-jurisdictional employment projects, including accommodation processes
- Regulatory Compliance:
- Ensure compliance with relevant regulations, internal policies, and legal requirements with respect to employer-employee policies and consumer-focused legislation.
- Assist in the maintenance of company-wide compliance programs, working with U.S.-based colleagues on cross-border compliance efforts.
- Support the company's regulatory requirements by staying informed on legal and veterinary regulatory updates and advising on their business impacts.
- Opportunity to build expertise in specific regulatory areas where individual interest and company needs align.
- General Corporate Support:
- Advise on a variety of corporate legal matters, including contract reviews, vendor agreements, and support for M&A transactions.
- Prioritize projects in line with professional interests, allowing autonomy and career growth.
- Partner with internal teams (e.g., Human Resources, Operations, Finance) to ensure cohesive legal practices and compliance standards.
- Collaborate with multiple departments, with the opportunity to focus on areas aligned with career goals.
- Managing Outside Counsel Relationships:
- Work with external counsel and communicate legal advice effectively across business units.
Qualifications:
- Education: Juris Doctor (JD) from an accredited law school.
- Experience: Minimum of 4 years of legal experience, preferably in corporate or in-house roles focused on labor and employment, compliance, or regulatory law.
- Bar Admission: Licensed to practice in Canada and in good standing with a Canadian law society.
- Skills: Strong analytical, organizational, and communication skills, with the ability to manage multiple projects in a dynamic environment. Excellent communication skills to facilitate coordination with internal teams, external partners, and outside counsel.
- Attributes: Self-driven, collaborative, and capable of sound decision-making under pressure. A proactive mindset with a willingness to explore new areas of impact within the company.
Join NVA Canada to make a substantial impact within a growing organization, working with a team that values your expertise and professional development.
What You Can Expect in Return:
- Retirement savings matching programs.
- Opportunities for continuous learning and career growth within a collaborative, fast-paced setting.
- Flexible working options, including a mostly remote hybrid model with occasional office attendance to foster team engagement.
- The flexibility to tailor your work focus and develop expertise in areas that are most meaningful to you and beneficial to the company.
Please Note: NVA Canada is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, protected veteran or disability status, or genetic information. Employment eligibility verification and successful completion of a background check are required. We do not accept unsolicited resumes from agencies. Candidates submitted by agencies will not be considered for this position.
At NVA Canada diversity and inclusion are an important part of our everyday reality.
We are committed to fostering an open and inclusive environment where everyone belongs, our people feel comfortable and confident to be themselves and reach their full potential regardless of age, race, national or ethnic origin, gender identity or expression, marital and family status, religion or other belief, culture, sexual orientation, or disability.