23 Regulatory Affairs Specialist jobs in Toronto
Senior Regulatory Affairs Specialist
North York, Ontario
Kelly Services
Posted 16 days ago
Job Viewed
Job Description
**Senior Regulatory Affairs Specialist**
**Job details**
Kelly FSP is hiring for a Senior Regulatory Affairs Specialist with our Medical Device Client in Markham, ON.
This is a hybrid position (3 days a week in office)
As a member of our Regulatory team, you will proactively drive launch of new products in Canada through Regulatory expertise and support marketing and product development initiatives by providing strategic regulatory guidance.
As a member of our Regulatory team, you will primarily drive regulatory lifecycle management in Canada, while also supporting new product launches through strategic regulatory guidance
Provide accurate, relevant, and timely information internally and externally, to maintain product regulatory compliance, and to support approval of regulatory submissions in Canada
**Responsibilities Include:**
+ Develop and implement regulatory strategies for obtaining approval of medical devices in Canada, leveraging regulatory intelligence, product assessments, and competitive insights
+ Drive clarity on risks and methods to overcome them to have market centric products in the shortest possible time.
**Regulatory Submissions**
+ Lead the preparation and submission of regulatory dossiers, applications, change notifications, and other product registration activities specific to Health Canada requirements.
+ Prepare robust regulatory applications with right claims to achieve high yield with strategy to accelerate product launch success.
**Regulatory Approval Maintenance**
+ Maintain ongoing surveillance, analysis, and dissemination of all relevant international medical device regulations to ensure regulatory compliance is maintained and internal parties are appropriately informed.
+ Maintain current body of knowledge on regulations and standards that may impact regulatory approvals for products currently being marketed
+ Evaluate impact of changes on regulatory compliance.
**Relationship Management**
+ Interface with regulatory agencies as the need arises and build strong relationships Provide the voice of international regulatory affairs on project planning and cross-functional project teams and drive clarity for market access in the shortest time period with claims strategy.
+ Maintain positive and cooperative communications and collaboration with all levels of employees, customers, contractors, and vendors.
+ Support regulatory, customer and internal audits.
**Compliance**
+ Comply with Company policies, operating procedures, and processes
+ Health and Safety
+ Ensure compliance with relevant health and safety legislation, including the Workplace Safety and Insurance Act, the Occupational Health and Safety Act, etc.
**Qualifications:**
+ Bachelor's Degree in health or biological sciences, or a related field
+ Certificate in Regulatory Affairs or equivalent work experience
+ 5-7 years of regulatory experience in a medical device environment within Health Canada
+ Must have familiarity with current Canadian regulations
+ Developed strategies and documentation to support submissions and approval of medical device applications globally, specifically within Canada
+ Knowledge and understanding of regulations governing medical devices in Canada, USA and Europe is an asset
+ Excellent oral and written communication skills, including technical writing.
+ Computer literate with: Advanced experience in a Windows environment. Advanced experience in MS Word. Advanced experience in MS Excel
+ Experience using database software to manage data and records is an asset.
+ Strong organizational and general administrative skills
+ Demonstrated attention to detail.
+ Strong interpersonal skills with ability to communicate effectively with internal personnel and external parties
As part of our promise to talent, Kelly supports those who work with us through a variety of benefits, perks, and work-related resources. Kelly offers eligible employees voluntary benefit plans including medical, dental, vision, telemedicine, term life, whole life, accident insurance, critical illness, a legal plan, and short-term disability. As a Kelly employee, you will have access to a retirement savings plan, service bonus and holiday pay plans (earn up to eight paid holidays per benefit year), and a transit spending account. In addition, employees are entitled to earn paid sick leave under the applicable state or local plan. Click here ( for more information on benefits and perks that may be available to you as a member of the Kelly Talent Community.
Why Kelly ® Science & Clinical?
Kelly Science & Clinical is your connection to premier scientific and clinical companies looking to hire industry experts just like you. Our team creates expert talent solutions to solve the world's most critical challenges. Every day, we match science professionals with dream jobs that fit their skills, interests, and career goals-it's the way we think job searching should be. Nearly 100 percent of our science recruiters have a professional background and education in science, so we know a thing or two about the science market and how to get your expertise noticed.
About Kelly
Work changes everything. And at Kelly, we're obsessed with where it can take you. To us, it's about more than simply accepting your next job opportunity. It's the fuel that powers every next step of your life. It's the ripple effect that changes and improves everything for your family, your community, and the world. Which is why, here at Kelly, we are dedicated to providing you with limitless opportunities to enrich your life-just ask the 300,000 people we employ each year.
Kelly is committed to providing a workplace environment that is inclusive and respects the dignity of those in our workforce. Consistent with that commitment, Kelly will ensure that persons who are otherwise able to work are not unfairly excluded from doing so based upon any grounds protected by applicable human rights legislation, and will make all reasonable efforts to accommodate the needs of applicants and employees in all employment processes including but not limited to, hiring, advancement, discharge, compensation, or training.
**Job details**
Kelly FSP is hiring for a Senior Regulatory Affairs Specialist with our Medical Device Client in Markham, ON.
This is a hybrid position (3 days a week in office)
As a member of our Regulatory team, you will proactively drive launch of new products in Canada through Regulatory expertise and support marketing and product development initiatives by providing strategic regulatory guidance.
As a member of our Regulatory team, you will primarily drive regulatory lifecycle management in Canada, while also supporting new product launches through strategic regulatory guidance
Provide accurate, relevant, and timely information internally and externally, to maintain product regulatory compliance, and to support approval of regulatory submissions in Canada
**Responsibilities Include:**
+ Develop and implement regulatory strategies for obtaining approval of medical devices in Canada, leveraging regulatory intelligence, product assessments, and competitive insights
+ Drive clarity on risks and methods to overcome them to have market centric products in the shortest possible time.
**Regulatory Submissions**
+ Lead the preparation and submission of regulatory dossiers, applications, change notifications, and other product registration activities specific to Health Canada requirements.
+ Prepare robust regulatory applications with right claims to achieve high yield with strategy to accelerate product launch success.
**Regulatory Approval Maintenance**
+ Maintain ongoing surveillance, analysis, and dissemination of all relevant international medical device regulations to ensure regulatory compliance is maintained and internal parties are appropriately informed.
+ Maintain current body of knowledge on regulations and standards that may impact regulatory approvals for products currently being marketed
+ Evaluate impact of changes on regulatory compliance.
**Relationship Management**
+ Interface with regulatory agencies as the need arises and build strong relationships Provide the voice of international regulatory affairs on project planning and cross-functional project teams and drive clarity for market access in the shortest time period with claims strategy.
+ Maintain positive and cooperative communications and collaboration with all levels of employees, customers, contractors, and vendors.
+ Support regulatory, customer and internal audits.
**Compliance**
+ Comply with Company policies, operating procedures, and processes
+ Health and Safety
+ Ensure compliance with relevant health and safety legislation, including the Workplace Safety and Insurance Act, the Occupational Health and Safety Act, etc.
**Qualifications:**
+ Bachelor's Degree in health or biological sciences, or a related field
+ Certificate in Regulatory Affairs or equivalent work experience
+ 5-7 years of regulatory experience in a medical device environment within Health Canada
+ Must have familiarity with current Canadian regulations
+ Developed strategies and documentation to support submissions and approval of medical device applications globally, specifically within Canada
+ Knowledge and understanding of regulations governing medical devices in Canada, USA and Europe is an asset
+ Excellent oral and written communication skills, including technical writing.
+ Computer literate with: Advanced experience in a Windows environment. Advanced experience in MS Word. Advanced experience in MS Excel
+ Experience using database software to manage data and records is an asset.
+ Strong organizational and general administrative skills
+ Demonstrated attention to detail.
+ Strong interpersonal skills with ability to communicate effectively with internal personnel and external parties
As part of our promise to talent, Kelly supports those who work with us through a variety of benefits, perks, and work-related resources. Kelly offers eligible employees voluntary benefit plans including medical, dental, vision, telemedicine, term life, whole life, accident insurance, critical illness, a legal plan, and short-term disability. As a Kelly employee, you will have access to a retirement savings plan, service bonus and holiday pay plans (earn up to eight paid holidays per benefit year), and a transit spending account. In addition, employees are entitled to earn paid sick leave under the applicable state or local plan. Click here ( for more information on benefits and perks that may be available to you as a member of the Kelly Talent Community.
Why Kelly ® Science & Clinical?
Kelly Science & Clinical is your connection to premier scientific and clinical companies looking to hire industry experts just like you. Our team creates expert talent solutions to solve the world's most critical challenges. Every day, we match science professionals with dream jobs that fit their skills, interests, and career goals-it's the way we think job searching should be. Nearly 100 percent of our science recruiters have a professional background and education in science, so we know a thing or two about the science market and how to get your expertise noticed.
About Kelly
Work changes everything. And at Kelly, we're obsessed with where it can take you. To us, it's about more than simply accepting your next job opportunity. It's the fuel that powers every next step of your life. It's the ripple effect that changes and improves everything for your family, your community, and the world. Which is why, here at Kelly, we are dedicated to providing you with limitless opportunities to enrich your life-just ask the 300,000 people we employ each year.
Kelly is committed to providing a workplace environment that is inclusive and respects the dignity of those in our workforce. Consistent with that commitment, Kelly will ensure that persons who are otherwise able to work are not unfairly excluded from doing so based upon any grounds protected by applicable human rights legislation, and will make all reasonable efforts to accommodate the needs of applicants and employees in all employment processes including but not limited to, hiring, advancement, discharge, compensation, or training.
This advertiser has chosen not to accept applicants from your region.
0
Specialist SARA Regulatory Affairs
Toronto, Ontario
Mondelez International
Posted 3 days ago
Job Viewed
Job Description
**Job Description**
**Are You Ready to Make It Happen at Mondelēz International?**
**Join our Mission to Lead the Future of Snacking. Make It With Pride.**
You execute the regulatory affairs strategy for your respective categories and geographical area using your technical and regulatory expertise. You ensure the regulatory and policy compliance of our portfolio and ensure policies, regulatory programs and requirements are met.
**How you will contribute**
You will implement the regulatory affairs strategy and work with cross-functional teams to anticipate regulatory business risks and opportunities. In addition, you will provide regulatory affairs expertise for technical regulatory developments and help with responses to challenges and crisis management. In this role, you will ensure that ingredients, product composition, claims and labelling is in compliance with regulations and company policies, provide guidance to stakeholders on regulatory affairs, propose and implement business solutions in response to regulatory changes, and maintain and develop a strong knowledge of regulatory, scientific and nutrition risks and opportunities in your corresponding market.
**What you will bring**
A desire to drive your future and purpose, accelerate your career and the following experience and knowledge:
+ Regulatory affairs (industry, governmental, association background).
+ Understanding of the regulatory framework in your geographical area
+ Building collaborative relationships
+ Conducting technical assessments and supporting issues management
+ Thinking creatively
+ Communicating effectively
+ Project management
+ SARA core knowledge topics (e.g. flavors, additives, GMO, organic, dietary or religious suitability, etc.)
**What you will bring**
A desire to drive your future and purpose, accelerate your career and the following experience and knowledge:
Regulatory affairs (industry, governmental, and association background).
Understanding of the regulatory framework in your geographical area
Building collaborative relationships
Conducting technical assessments and supporting issues management
Thinking creatively
Communicating effectively
Project management
SARA core knowledge topics (e.g. flavors, additives, GMO, organic, dietary or religious suitability, etc.)
**More about this role**
The position is with the North American Regulatory Ingredients and Global Import Export team.
The scope of work includes reviewing and coordinating the revision of ingredient compliance against US FDA and Health Canada requirements and ensuring regulatory information excellence in the ingredient specifications.
Ability to interpret complex ingredient regulations and laws for food and recommend compliance strategies that balance risk with business impact and cost.
Experience with PLM is a requirement. Experience with MS Teams and other MS Apps is an asset.
The role will also be responsible for GIE RA brand/category continuity, leading the strategy and decision-making, adapting to the business needs.
Strong organization and leadership, acting like an owner, proactively collaborating with business partners and regulatory colleagues to develop strategies and recommended action plans to advance complex business initiatives.
Work autonomously and through others to facilitate deployment/ delivery of all regulatory project elements (compliance, claims, labeling) as required.
Interface and collaborate across different functions of the organization to ensure project outcomes are achieved with high-quality results and gain their alignment and support.
This candidate will be expected to be involved in and make contributions to the North American SARA community/pillars/programs/tools.
**Education / Certifications:**
Bachelor's degree in nutrition, Food Science, or related scientific discipline
**Job-specific requirements**
Desired experience with US FDA and Health Canada food regulations, specifications, and labeling databases.
**Work schedule:**
Regular business hours
**Work schedule: Full time**
No Relocation support available
**Business Unit Summary**
**Mondelēz International is the world's largest chocolate, biscuit and candy maker, and the second largest gum maker. Our North American and U.S. headquarters are in East Hanover, New Jersey, about 25 miles outside of New York City. We have Canadian offices in Toronto and Montreal. We have a strong North American manufacturing presence where we make our well-loved snacks like** **_Oreo_** **cookies,** **_belVita_** **breakfast biscuits,** **_Trident_** **gum and** **_Cadbury_** **chocolates. Our East Hanover location also houses our global research and development center for our consumer-favorite cookie and cracker brands.**
USA:
Mondelēz Global LLC is an Equal Opportunity/Affirmative Action employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability, protected Veteran status, sexual orientation, gender identity, gender expression, genetic information, or any other characteristic protected by law. Applicants who require accommodation to participate in the job application process may contact for assistance.
Canada:
If you are applying to a position in Canada, accommodations for applicants with disabilities or other grounds protected by human rights legislation are available upon request for candidates taking part in all aspects of the employment selection process. For all internal and external applicants who require accommodation in the recruitment and selection process please contact for assistance/support.
**Job Type**
Regular
Scientific Affairs & Regulatory Affairs
Product Quality, Safety and Compliance
At Mondelēz International, our purpose is to empower people to snack right through offering the right snack, for the right moment, made the right way. That means delivering a broader range of delicious, high-quality snacks that nourish life's moments, made with sustainable ingredients and packaging that consumers can feel good about.
We have a rich portfolio of strong brands - both global and local. Including many household names such as Oreo, belVita and LU biscuits; Cadbury Dairy Milk, Milka and Toblerone chocolate; Sour Patch Kids candy and Trident gum. We are proud to hold the number 1 position globally in biscuits, chocolate and candy as well as the No. 2 position in gum
Our 80,000 Makers and Bakers are located in our operations in more than 80 countries and are working to sell our products in over 150 countries around the world. They are energized for growth and critical to us living our purpose and values. We are a diverse community that can make things happen, and happen fast.
Join us and Make It An Opportunity!
Mondelez Global LLC is an Equal Opportunity/Affirmative Action employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability, protected Veteran status, sexual orientation, gender identity, gender expression, genetic information, or any other characteristic protected by law. Applicants who require accommodation to participate in the job application process may contact for assistance.
**Are You Ready to Make It Happen at Mondelēz International?**
**Join our Mission to Lead the Future of Snacking. Make It With Pride.**
You execute the regulatory affairs strategy for your respective categories and geographical area using your technical and regulatory expertise. You ensure the regulatory and policy compliance of our portfolio and ensure policies, regulatory programs and requirements are met.
**How you will contribute**
You will implement the regulatory affairs strategy and work with cross-functional teams to anticipate regulatory business risks and opportunities. In addition, you will provide regulatory affairs expertise for technical regulatory developments and help with responses to challenges and crisis management. In this role, you will ensure that ingredients, product composition, claims and labelling is in compliance with regulations and company policies, provide guidance to stakeholders on regulatory affairs, propose and implement business solutions in response to regulatory changes, and maintain and develop a strong knowledge of regulatory, scientific and nutrition risks and opportunities in your corresponding market.
**What you will bring**
A desire to drive your future and purpose, accelerate your career and the following experience and knowledge:
+ Regulatory affairs (industry, governmental, association background).
+ Understanding of the regulatory framework in your geographical area
+ Building collaborative relationships
+ Conducting technical assessments and supporting issues management
+ Thinking creatively
+ Communicating effectively
+ Project management
+ SARA core knowledge topics (e.g. flavors, additives, GMO, organic, dietary or religious suitability, etc.)
**What you will bring**
A desire to drive your future and purpose, accelerate your career and the following experience and knowledge:
Regulatory affairs (industry, governmental, and association background).
Understanding of the regulatory framework in your geographical area
Building collaborative relationships
Conducting technical assessments and supporting issues management
Thinking creatively
Communicating effectively
Project management
SARA core knowledge topics (e.g. flavors, additives, GMO, organic, dietary or religious suitability, etc.)
**More about this role**
The position is with the North American Regulatory Ingredients and Global Import Export team.
The scope of work includes reviewing and coordinating the revision of ingredient compliance against US FDA and Health Canada requirements and ensuring regulatory information excellence in the ingredient specifications.
Ability to interpret complex ingredient regulations and laws for food and recommend compliance strategies that balance risk with business impact and cost.
Experience with PLM is a requirement. Experience with MS Teams and other MS Apps is an asset.
The role will also be responsible for GIE RA brand/category continuity, leading the strategy and decision-making, adapting to the business needs.
Strong organization and leadership, acting like an owner, proactively collaborating with business partners and regulatory colleagues to develop strategies and recommended action plans to advance complex business initiatives.
Work autonomously and through others to facilitate deployment/ delivery of all regulatory project elements (compliance, claims, labeling) as required.
Interface and collaborate across different functions of the organization to ensure project outcomes are achieved with high-quality results and gain their alignment and support.
This candidate will be expected to be involved in and make contributions to the North American SARA community/pillars/programs/tools.
**Education / Certifications:**
Bachelor's degree in nutrition, Food Science, or related scientific discipline
**Job-specific requirements**
Desired experience with US FDA and Health Canada food regulations, specifications, and labeling databases.
**Work schedule:**
Regular business hours
**Work schedule: Full time**
No Relocation support available
**Business Unit Summary**
**Mondelēz International is the world's largest chocolate, biscuit and candy maker, and the second largest gum maker. Our North American and U.S. headquarters are in East Hanover, New Jersey, about 25 miles outside of New York City. We have Canadian offices in Toronto and Montreal. We have a strong North American manufacturing presence where we make our well-loved snacks like** **_Oreo_** **cookies,** **_belVita_** **breakfast biscuits,** **_Trident_** **gum and** **_Cadbury_** **chocolates. Our East Hanover location also houses our global research and development center for our consumer-favorite cookie and cracker brands.**
USA:
Mondelēz Global LLC is an Equal Opportunity/Affirmative Action employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability, protected Veteran status, sexual orientation, gender identity, gender expression, genetic information, or any other characteristic protected by law. Applicants who require accommodation to participate in the job application process may contact for assistance.
Canada:
If you are applying to a position in Canada, accommodations for applicants with disabilities or other grounds protected by human rights legislation are available upon request for candidates taking part in all aspects of the employment selection process. For all internal and external applicants who require accommodation in the recruitment and selection process please contact for assistance/support.
**Job Type**
Regular
Scientific Affairs & Regulatory Affairs
Product Quality, Safety and Compliance
At Mondelēz International, our purpose is to empower people to snack right through offering the right snack, for the right moment, made the right way. That means delivering a broader range of delicious, high-quality snacks that nourish life's moments, made with sustainable ingredients and packaging that consumers can feel good about.
We have a rich portfolio of strong brands - both global and local. Including many household names such as Oreo, belVita and LU biscuits; Cadbury Dairy Milk, Milka and Toblerone chocolate; Sour Patch Kids candy and Trident gum. We are proud to hold the number 1 position globally in biscuits, chocolate and candy as well as the No. 2 position in gum
Our 80,000 Makers and Bakers are located in our operations in more than 80 countries and are working to sell our products in over 150 countries around the world. They are energized for growth and critical to us living our purpose and values. We are a diverse community that can make things happen, and happen fast.
Join us and Make It An Opportunity!
Mondelez Global LLC is an Equal Opportunity/Affirmative Action employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability, protected Veteran status, sexual orientation, gender identity, gender expression, genetic information, or any other characteristic protected by law. Applicants who require accommodation to participate in the job application process may contact for assistance.
This advertiser has chosen not to accept applicants from your region.
1
Senior Regulatory Compliance Specialist
Toronto, Ontario
The Successful Investor
Posted today
Job Viewed
Job Description
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.
This advertiser has chosen not to accept applicants from your region.
2
Regulatory Compliance Lead
Toronto, Ontario
DUCA Financial Services Credit Union Ltd.
Posted today
Job Viewed
Job Description
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.
This advertiser has chosen not to accept applicants from your region.
3
Junior Associate Director, Regulatory Compliance
Toronto, Ontario
MUFG Investor Services
Posted today
Job Viewed
Job Description
Job Description
Additional Information
Job Description
Company Description
Experience something Brilliantly Different with a career at MUFG Investor Services.
Who are we? In a nutshell, MUFG Investor Services is part of the Mitsubishi UFJ Financial Group, and we partner with over 480 loyal global investment firms to provide them with administration, asset services, banking and fund financing.
We’re in 14 global locations and provide an exceptional hub of Brilliantly Different talent to thrive.
Job Description- Responsible for monitoring updates to laws specific to the Cayman Islands, relevant regulatory changes and developments; report to manager and engage with stakeholders and impacted parties.
- Conduct gap analysis of changes to laws, regulatory changes and developments and report on the potential impact thereof to the Company’s licenses, business or services.
- Assist with statutory reporting requirements, within requisite timelines.
- Assist with developing and amending compliance policies and procedures, in response to changing regulation and annual reviews.
- Assist with preparation of materials for review/approval by the Compliance Committee and the Board of Directors of the regulated entities.
- Assist with the Compliance Monitoring Process, carrying out testing and quality control checks as required in relation to Regulatory matters.
- Respond to business requests and queries, providing guidance as necessary, under the supervision of Manager.
- Work within the global Regulatory Compliance Team to develop, implement, and monitor Compliance Monitoring Plans (CMP) for all regulated jurisdictions to ensure appropriate controls are developed, monitored in all regulated jurisdictions and updated to reflect changing regulatory and industry requirements.
- Assist with the preparation of management reporting and the periodic reporting to stakeholders including the Chief Compliance Officer (CCO) / Head of Compliance, the Compliance Committee, Board of Directors, Senior Management and the parent company.
- Work with team to ensure sound oversight of outsourcing provisions, assist in the review of Risk Assessments / SLA’s and Oversight Reports on outsourcing arrangements.
- Testing of Regulatory Compliance systems/ tools/platforms ensuring they are functioning as required and engage with vendors/stakeholders as required.
- Assist with gathering information in relation to any on-site inspections carried out by the Regulator.
- Any other ad-hoc projects and duties as required as assigned by Manager.
- A relevant undergraduate degree or other third level qualification is preferred; equivalent experience may be considered in exceptional circumstances.
- Possession of a formal qualification in Compliance (e.g., ACAMs or ACOI) or working towards one.
- Previous experience in Regulatory Compliance is a prerequisite.
- Knowledge of fund administration and/or banking business is required.
- Understanding of financial services laws, regulations, rules, and statements of guidance in offshore jurisdictions.
- Proficiency in report writing is essential, with a proven ability to effectively analyze information, verify data, and create informative reports.
- Extensive experience with Microsoft Office suite (Excel, Word, PowerPoint, Outlook) is necessary.
- A minimum of 4 years' experience within Regulatory Compliance.
Additional Information
What’s in it for you to join MUFG Investor Services?
Take a look at our careers site and you’ll find everything you’d expect from a career with the fastest-growing business at one of the world’s largest financial groups. Now take another look. Because it’s how we defy expectations that really defines us. You’ll feel that difference in all kinds of ways. Our vibrant CULTURE. Connected team. Love of innovation, laser client focus, and next-level LEARNING & DEVELOPMENT. Oh, and we really walk the talk when it comes to HYBRID WORKING.
So, why settle for the ordinary? Apply now for a Brilliantly Different career.
We thank all candidates for applying; however, only those proceeding to the interview stage will be contacted.
This advertiser has chosen not to accept applicants from your region.
4
Toronto Risk & Compliance - Regulatory Compliance (Financial Services) Experienced Consultant
Toronto, Ontario
Robert Half
Posted 23 days ago
Job Viewed
Job Description
JOB REQUISITION
Toronto Risk & Compliance - Regulatory Compliance (Financial Services) Experienced Consultant
LOCATION
TORONTO
ADDITIONAL LOCATION(S)
JOB DESCRIPTION
You Belong Here
The Protiviti Career provides opportunity to learn, inspire, and advance within a collaborative and inclusive culture. We hire curious individuals for whom learning is a passion. We lean into our mission: We Care. We Collaborate. We Deliver .
At every level, we champion leaders who live our values of integrity, inclusion, innovation, and commitment to success . Imagining our work as a journey, we believe integrity guides our way, inclusion moves us forward together, innovation creates new destinations, and our commitment to success empowers us to deliver on our vision to be the most trusted global consulting firm.
Where We Need You
Protiviti is looking for a Risk and Compliance Experienced Consultant to join our growing Regulatory Compliance team.
Protiviti's Financial Services practice is widely recognized as a leading provider of consulting services across the three lines of defense for financial institutions. We empower our clients to be more effective and efficient in a way that is risk-sensitive, regulatory compliant, well controlled, and enabled by leading technologies.
What You Can Expect
As an Experienced Consultant, you'll be provided excellent training and meaningful mentorship to deepen your understanding of business processes and build technical skills. You'll conduct interviews, compile and analyze data, and document findings. Through interaction with client and project team personnel, you'll develop professional relationships that contribute to exceptional client service. You'll learn time and project management and take ownership of assignments.
What Will Help You Be Successful
+ You are familiar with Canadian regulatory landscape and trends, including the increasing focus on risk frameworks and methodologies.
+ You are motivated to learn and interested in all things related to regulatory compliance , including emerging regulations.
+ Being able to support compliance program reviews and reme diation validation testing.
+ You have regulatory compliance testing, monitoring and /or oversight experience.
+ You are passionate about building relationships with clients and providing clients with exceptional experience .
+ You have an inherent interest in project management and team leadership.
+ You contribute to a positive team culture that fosters open communication among all engagement team members.
+ You create development opportunities for others and ways for your team to improve our clients and communities.
+ You have interest in working with a diverse portfolio of clients across the financial services industry .
Do Your Talents Include the Following?
+ Experience with or understanding of:
+ Develop an understanding of the client's business and industry, their business processes, and business risks.
+ Bring a fresh perspective to each client engagement, seeking out opportunities to innovate in ways that better serve our clients.
+ E valuat ing , summariz ing , organiz ing , and interpret ing data.
+ Establishing and cultivating business relationships and a professional network.
+ Ability to translate and communicate regulatory compliance issues to client personnel, including executives.
+ Supervisory experience of teams including mentoring, oversight and review of work, coordination across teams, and understanding how to motivate.
Your Educational and Professional Qualifications
+ Bachelor's degree in a relevant discipline ( business, finance, risk management or a related field).
+ 1 + years working in regulatory compliance either as a regulatory examiner o r in the financial services industry.
+ Skills in data analytics and can interpret complex regulatory data using tools such as Excel, SQL, Power BI or Tableau.
+ Experience in internal audit and/or in second line testing, with a strong understanding of regulatory compliance internal controls and compliance methodologies.
+ Experience working with a regulator, such as a field examiner or policy team member, is highly desirable.
+ Financial Services Industry (FSI) experience, ideally within the second or third line of defense.
Our Hybrid Workplace
Protiviti practices a hybrid model, which is a combination of working in person with a purpose and working remotely. This model creates meaningful experiences for our people and our clients while offering a flexible environment. The ratio of remote to in-person requirements vary by client, project, team, and other business factors. Our people work both in-person in local Protiviti offices and on client sites, which can include local or out-of-state travel based on our projects and client requests and commitments .
#LI-Hybrid
Protiviti is not registered to hire or employ personnel in the following states - West Virginia, Alaska.
Protiviti is not licensed or registered as a public accounting firm and does not issue opinions on financial statements or offer attestation services.
All applicants applying for Canadian job openings need authorization to work in Canada for Protiviti without sponsorship now or in the future.
As part of Protiviti's employment process, any offer of employment is contingent upon successful completion of a background check.
Protiviti is committed to being an equal employment employer offering opportunities to all job seekers, including individuals with disabilities. If you believe you need a reasonable accommodation in order to search for a job opening or to apply for a position, please contact us by sending an email to or call for assistance.
In your email please include the following:
+ The specific accommodation requested to complete the employment application.
+ The location(s) (city, state) to which you would like to apply.
Protiviti is not registered to hire or employ personnel in the following provinces - New Brunswick, Newfoundland & Labrador, Northwest Territories, Nova Scotia, Nunavut, Prince Edward Island, Quebec, Saskatchewan, Yukon.
Protiviti is not licensed or registered as a public accounting firm and does not issue opinions on financial statements or offer attestation services.
JOB LOCATION
CAN TORONTO
Protiviti ( ( ) is a global consulting firm that delivers deep expertise, objective insights, a tailored approach and unparalleled collaboration to help leaders confidently face the future. Protiviti and our independent and locally owned Member Firms provide clients with consulting and managed solutions in finance, technology, operations, data, analytics, digital, legal, HR, governance, risk and internal audit through our network of more than 85 offices in over 25 countries.
Named to the 2025 Fortune 100 Best Companies to Work For® ( list, Protiviti has served more than 80 percent of Fortune 100 and nearly 80 percent of Fortune 500 companies. Protiviti is a wholly owned subsidiary of Robert Half (NYSE: RHI ( ). Founded in 1948, Robert Half is a member of the S&P 500 index.
Click HERE ( to receive insights to life at Protiviti and be among the first to hear about new career opportunities that align with your areas of interest.
Toronto Risk & Compliance - Regulatory Compliance (Financial Services) Experienced Consultant
LOCATION
TORONTO
ADDITIONAL LOCATION(S)
JOB DESCRIPTION
You Belong Here
The Protiviti Career provides opportunity to learn, inspire, and advance within a collaborative and inclusive culture. We hire curious individuals for whom learning is a passion. We lean into our mission: We Care. We Collaborate. We Deliver .
At every level, we champion leaders who live our values of integrity, inclusion, innovation, and commitment to success . Imagining our work as a journey, we believe integrity guides our way, inclusion moves us forward together, innovation creates new destinations, and our commitment to success empowers us to deliver on our vision to be the most trusted global consulting firm.
Where We Need You
Protiviti is looking for a Risk and Compliance Experienced Consultant to join our growing Regulatory Compliance team.
Protiviti's Financial Services practice is widely recognized as a leading provider of consulting services across the three lines of defense for financial institutions. We empower our clients to be more effective and efficient in a way that is risk-sensitive, regulatory compliant, well controlled, and enabled by leading technologies.
What You Can Expect
As an Experienced Consultant, you'll be provided excellent training and meaningful mentorship to deepen your understanding of business processes and build technical skills. You'll conduct interviews, compile and analyze data, and document findings. Through interaction with client and project team personnel, you'll develop professional relationships that contribute to exceptional client service. You'll learn time and project management and take ownership of assignments.
What Will Help You Be Successful
+ You are familiar with Canadian regulatory landscape and trends, including the increasing focus on risk frameworks and methodologies.
+ You are motivated to learn and interested in all things related to regulatory compliance , including emerging regulations.
+ Being able to support compliance program reviews and reme diation validation testing.
+ You have regulatory compliance testing, monitoring and /or oversight experience.
+ You are passionate about building relationships with clients and providing clients with exceptional experience .
+ You have an inherent interest in project management and team leadership.
+ You contribute to a positive team culture that fosters open communication among all engagement team members.
+ You create development opportunities for others and ways for your team to improve our clients and communities.
+ You have interest in working with a diverse portfolio of clients across the financial services industry .
Do Your Talents Include the Following?
+ Experience with or understanding of:
+ Develop an understanding of the client's business and industry, their business processes, and business risks.
+ Bring a fresh perspective to each client engagement, seeking out opportunities to innovate in ways that better serve our clients.
+ E valuat ing , summariz ing , organiz ing , and interpret ing data.
+ Establishing and cultivating business relationships and a professional network.
+ Ability to translate and communicate regulatory compliance issues to client personnel, including executives.
+ Supervisory experience of teams including mentoring, oversight and review of work, coordination across teams, and understanding how to motivate.
Your Educational and Professional Qualifications
+ Bachelor's degree in a relevant discipline ( business, finance, risk management or a related field).
+ 1 + years working in regulatory compliance either as a regulatory examiner o r in the financial services industry.
+ Skills in data analytics and can interpret complex regulatory data using tools such as Excel, SQL, Power BI or Tableau.
+ Experience in internal audit and/or in second line testing, with a strong understanding of regulatory compliance internal controls and compliance methodologies.
+ Experience working with a regulator, such as a field examiner or policy team member, is highly desirable.
+ Financial Services Industry (FSI) experience, ideally within the second or third line of defense.
Our Hybrid Workplace
Protiviti practices a hybrid model, which is a combination of working in person with a purpose and working remotely. This model creates meaningful experiences for our people and our clients while offering a flexible environment. The ratio of remote to in-person requirements vary by client, project, team, and other business factors. Our people work both in-person in local Protiviti offices and on client sites, which can include local or out-of-state travel based on our projects and client requests and commitments .
#LI-Hybrid
Protiviti is not registered to hire or employ personnel in the following states - West Virginia, Alaska.
Protiviti is not licensed or registered as a public accounting firm and does not issue opinions on financial statements or offer attestation services.
All applicants applying for Canadian job openings need authorization to work in Canada for Protiviti without sponsorship now or in the future.
As part of Protiviti's employment process, any offer of employment is contingent upon successful completion of a background check.
Protiviti is committed to being an equal employment employer offering opportunities to all job seekers, including individuals with disabilities. If you believe you need a reasonable accommodation in order to search for a job opening or to apply for a position, please contact us by sending an email to or call for assistance.
In your email please include the following:
+ The specific accommodation requested to complete the employment application.
+ The location(s) (city, state) to which you would like to apply.
Protiviti is not registered to hire or employ personnel in the following provinces - New Brunswick, Newfoundland & Labrador, Northwest Territories, Nova Scotia, Nunavut, Prince Edward Island, Quebec, Saskatchewan, Yukon.
Protiviti is not licensed or registered as a public accounting firm and does not issue opinions on financial statements or offer attestation services.
JOB LOCATION
CAN TORONTO
Protiviti ( ( ) is a global consulting firm that delivers deep expertise, objective insights, a tailored approach and unparalleled collaboration to help leaders confidently face the future. Protiviti and our independent and locally owned Member Firms provide clients with consulting and managed solutions in finance, technology, operations, data, analytics, digital, legal, HR, governance, risk and internal audit through our network of more than 85 offices in over 25 countries.
Named to the 2025 Fortune 100 Best Companies to Work For® ( list, Protiviti has served more than 80 percent of Fortune 100 and nearly 80 percent of Fortune 500 companies. Protiviti is a wholly owned subsidiary of Robert Half (NYSE: RHI ( ). Founded in 1948, Robert Half is a member of the S&P 500 index.
Click HERE ( to receive insights to life at Protiviti and be among the first to hear about new career opportunities that align with your areas of interest.
This advertiser has chosen not to accept applicants from your region.
5
Toronto Risk & Compliance - Regulatory Compliance (Financial Services) Senior Consultant
Toronto, Ontario
Robert Half
Posted 23 days ago
Job Viewed
Job Description
JOB REQUISITION
Toronto Risk & Compliance - Regulatory Compliance (Financial Services) Senior Consultant
LOCATION
TORONTO
ADDITIONAL LOCATION(S)
JOB DESCRIPTION
You Belong Here
The Protiviti Career provides opportunity to learn, inspire, and advance within a collaborative and inclusive culture. We hire curious individuals for whom learning is a passion. We lean into our mission: We Care. We Collaborate. We Deliver .
At every level, we champion leaders who live our values of integrity, inclusion, innovation, and commitment to success . Imagining our work as a journey, we believe integrity guides our way, inclusion moves us forward together, innovation creates new destinations, and our commitment to success empowers us to deliver on our vision to be the most trusted global consulting firm.
Where We Need You
Protiviti is looking for a Risk and Compliance Experienced Senior Consultant to join our growing Regulatory Compliance team.
Protiviti's Financial Services practice is widely recognized as a leading provider of consulting services across the three lines of defense for financial institutions. We empower our clients to be more effective and efficient in a way that is risk-sensitive, regulatory compliant, well controlled, and enabled by leading technologies.
What You Can Expect
As a Senior Consultant, you will be a mentor, trainer, and coach to Interns and Consultants as you facilitate the successful completion of project work plans. You'll identify areas of risk and opportunities to increase efficiency. You'll strengthen relationships and deepen your abilities to communicate, gain trust, and network with client personnel and professional associates. At the direction of Managers, you may accept responsibility for decision-making in areas including establishing project scope and work plans, project staffing, preparation of deliverables, and application of methodologies. By focusing on clients and engagements in the financial services industry, you'll partner with highly regulated clients and deepen your understanding of financial services regulations.
What Will Help You Be Successful
+ You are familiar with Canadian regulatory landscape and trends, including the increasing focus on risk frameworks and methodologies.
+ You are motivated to learn and interested in all things related to regulatory compliance , including emerging regulations.
+ Being able to support compliance program review s , and remediation validation testing .
+ You have regulatory compliance testing, monitoring and /or oversight experience.
+ You are passionate about building relationships with clients and providing clients with exceptional experiences .
+ You have an inherent interest in project management and team leadership.
+ You contribute to a positive team culture that fosters open communication among all engagement team members.
+ You create development opportunities for others and ways for your team to improve our clients and communities.
+ You have interest in working with a diverse portfolio of clients across the financial services industry .
Do Your Talents Include the Following?
+ Experience with or understanding of:
+ Develop an understanding of the client's business and industry, their business processes, and business risks.
+ Bring a fresh perspective to each client engagement, seeking opportunities to innovate in ways that better serve our clients.
+ E valuat ing , summariz ing , organiz ing , and interpret ing data.
+ Establishing and cultivating business relationships and a professional network.
+ Ability to translate and communicate regulatory compliance issues to client personnel, including executives.
+ Supervisory experience of teams including mentoring, oversight and review of work, coordination across teams, and understanding how to motivate.
Your Educational and Professional Qualifications
+ Bachelor's degree in a relevant discipline ( business, finance, risk management or a related field).
+ 2 + years working in regulatory compliance either as a regulatory examiner or in the financial services industry.
+ Skills in data analytics and can interpret complex regulatory data using tools such as Excel, SQL, Power BI or Tableau.
+ Experience in internal audit and/or in second line testing, with a strong understanding of regulatory compliance internal controls and compliance methodologies.
+ Experience working with a regulator, such as a field examiner or policy team member, is highly desirable.
+ Financial Services Industry (FSI) experience, ideally within the second or third line of defense.
Our Hybrid Workplace
Protiviti practices a hybrid model, which is a combination of working in person with a purpose and working remotely. This model creates meaningful experiences for our people and our clients while offering a flexible environment. The ratio of remote to in-person requirements vary by client, project, team, and other business factors. Our people work both in-person in local Protiviti offices and on client sites, which can include local or out-of-state travel based on our projects and client requests and commitments .
#LI-Hybrid
Protiviti is not registered to hire or employ personnel in the following states - West Virginia, Alaska.
Protiviti is not licensed or registered as a public accounting firm and does not issue opinions on financial statements or offer attestation services.
All applicants applying for Canadian job openings need authorization to work in Canada for Protiviti without sponsorship now or in the future.
As part of Protiviti's employment process, any offer of employment is contingent upon successful completion of a background check.
Protiviti is committed to being an equal employment employer offering opportunities to all job seekers, including individuals with disabilities. If you believe you need a reasonable accommodation in order to search for a job opening or to apply for a position, please contact us by sending an email to or call for assistance.
In your email please include the following:
+ The specific accommodation requested to complete the employment application.
+ The location(s) (city, state) to which you would like to apply.
Protiviti is not registered to hire or employ personnel in the following provinces - New Brunswick, Newfoundland & Labrador, Northwest Territories, Nova Scotia, Nunavut, Prince Edward Island, Quebec, Saskatchewan, Yukon.
Protiviti is not licensed or registered as a public accounting firm and does not issue opinions on financial statements or offer attestation services.
JOB LOCATION
CAN TORONTO
Protiviti ( ( ) is a global consulting firm that delivers deep expertise, objective insights, a tailored approach and unparalleled collaboration to help leaders confidently face the future. Protiviti and our independent and locally owned Member Firms provide clients with consulting and managed solutions in finance, technology, operations, data, analytics, digital, legal, HR, governance, risk and internal audit through our network of more than 85 offices in over 25 countries.
Named to the 2025 Fortune 100 Best Companies to Work For® ( list, Protiviti has served more than 80 percent of Fortune 100 and nearly 80 percent of Fortune 500 companies. Protiviti is a wholly owned subsidiary of Robert Half (NYSE: RHI ( ). Founded in 1948, Robert Half is a member of the S&P 500 index.
Click HERE ( to receive insights to life at Protiviti and be among the first to hear about new career opportunities that align with your areas of interest.
Toronto Risk & Compliance - Regulatory Compliance (Financial Services) Senior Consultant
LOCATION
TORONTO
ADDITIONAL LOCATION(S)
JOB DESCRIPTION
You Belong Here
The Protiviti Career provides opportunity to learn, inspire, and advance within a collaborative and inclusive culture. We hire curious individuals for whom learning is a passion. We lean into our mission: We Care. We Collaborate. We Deliver .
At every level, we champion leaders who live our values of integrity, inclusion, innovation, and commitment to success . Imagining our work as a journey, we believe integrity guides our way, inclusion moves us forward together, innovation creates new destinations, and our commitment to success empowers us to deliver on our vision to be the most trusted global consulting firm.
Where We Need You
Protiviti is looking for a Risk and Compliance Experienced Senior Consultant to join our growing Regulatory Compliance team.
Protiviti's Financial Services practice is widely recognized as a leading provider of consulting services across the three lines of defense for financial institutions. We empower our clients to be more effective and efficient in a way that is risk-sensitive, regulatory compliant, well controlled, and enabled by leading technologies.
What You Can Expect
As a Senior Consultant, you will be a mentor, trainer, and coach to Interns and Consultants as you facilitate the successful completion of project work plans. You'll identify areas of risk and opportunities to increase efficiency. You'll strengthen relationships and deepen your abilities to communicate, gain trust, and network with client personnel and professional associates. At the direction of Managers, you may accept responsibility for decision-making in areas including establishing project scope and work plans, project staffing, preparation of deliverables, and application of methodologies. By focusing on clients and engagements in the financial services industry, you'll partner with highly regulated clients and deepen your understanding of financial services regulations.
What Will Help You Be Successful
+ You are familiar with Canadian regulatory landscape and trends, including the increasing focus on risk frameworks and methodologies.
+ You are motivated to learn and interested in all things related to regulatory compliance , including emerging regulations.
+ Being able to support compliance program review s , and remediation validation testing .
+ You have regulatory compliance testing, monitoring and /or oversight experience.
+ You are passionate about building relationships with clients and providing clients with exceptional experiences .
+ You have an inherent interest in project management and team leadership.
+ You contribute to a positive team culture that fosters open communication among all engagement team members.
+ You create development opportunities for others and ways for your team to improve our clients and communities.
+ You have interest in working with a diverse portfolio of clients across the financial services industry .
Do Your Talents Include the Following?
+ Experience with or understanding of:
+ Develop an understanding of the client's business and industry, their business processes, and business risks.
+ Bring a fresh perspective to each client engagement, seeking opportunities to innovate in ways that better serve our clients.
+ E valuat ing , summariz ing , organiz ing , and interpret ing data.
+ Establishing and cultivating business relationships and a professional network.
+ Ability to translate and communicate regulatory compliance issues to client personnel, including executives.
+ Supervisory experience of teams including mentoring, oversight and review of work, coordination across teams, and understanding how to motivate.
Your Educational and Professional Qualifications
+ Bachelor's degree in a relevant discipline ( business, finance, risk management or a related field).
+ 2 + years working in regulatory compliance either as a regulatory examiner or in the financial services industry.
+ Skills in data analytics and can interpret complex regulatory data using tools such as Excel, SQL, Power BI or Tableau.
+ Experience in internal audit and/or in second line testing, with a strong understanding of regulatory compliance internal controls and compliance methodologies.
+ Experience working with a regulator, such as a field examiner or policy team member, is highly desirable.
+ Financial Services Industry (FSI) experience, ideally within the second or third line of defense.
Our Hybrid Workplace
Protiviti practices a hybrid model, which is a combination of working in person with a purpose and working remotely. This model creates meaningful experiences for our people and our clients while offering a flexible environment. The ratio of remote to in-person requirements vary by client, project, team, and other business factors. Our people work both in-person in local Protiviti offices and on client sites, which can include local or out-of-state travel based on our projects and client requests and commitments .
#LI-Hybrid
Protiviti is not registered to hire or employ personnel in the following states - West Virginia, Alaska.
Protiviti is not licensed or registered as a public accounting firm and does not issue opinions on financial statements or offer attestation services.
All applicants applying for Canadian job openings need authorization to work in Canada for Protiviti without sponsorship now or in the future.
As part of Protiviti's employment process, any offer of employment is contingent upon successful completion of a background check.
Protiviti is committed to being an equal employment employer offering opportunities to all job seekers, including individuals with disabilities. If you believe you need a reasonable accommodation in order to search for a job opening or to apply for a position, please contact us by sending an email to or call for assistance.
In your email please include the following:
+ The specific accommodation requested to complete the employment application.
+ The location(s) (city, state) to which you would like to apply.
Protiviti is not registered to hire or employ personnel in the following provinces - New Brunswick, Newfoundland & Labrador, Northwest Territories, Nova Scotia, Nunavut, Prince Edward Island, Quebec, Saskatchewan, Yukon.
Protiviti is not licensed or registered as a public accounting firm and does not issue opinions on financial statements or offer attestation services.
JOB LOCATION
CAN TORONTO
Protiviti ( ( ) is a global consulting firm that delivers deep expertise, objective insights, a tailored approach and unparalleled collaboration to help leaders confidently face the future. Protiviti and our independent and locally owned Member Firms provide clients with consulting and managed solutions in finance, technology, operations, data, analytics, digital, legal, HR, governance, risk and internal audit through our network of more than 85 offices in over 25 countries.
Named to the 2025 Fortune 100 Best Companies to Work For® ( list, Protiviti has served more than 80 percent of Fortune 100 and nearly 80 percent of Fortune 500 companies. Protiviti is a wholly owned subsidiary of Robert Half (NYSE: RHI ( ). Founded in 1948, Robert Half is a member of the S&P 500 index.
Click HERE ( to receive insights to life at Protiviti and be among the first to hear about new career opportunities that align with your areas of interest.
This advertiser has chosen not to accept applicants from your region.
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6
Compliance Officer, Complaints and Regulatory Investigations - Contract
Toronto, Ontario
CI Financial Corp.
Posted today
Job Viewed
Job Description
Job Description
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.
The CI Complaints and Regulatory Investigation (“CRI”) Team is currently seeking a Compliance Officer. The successful candidate is expected to encourage and foster a culture of compliance within the organization in accordance with our policies and procedures, securities industry rules and regulations. The successful candidate will be responsible for assisting the CRI Team with the handling of all assigned complaints, internally identified concerns, internal or regulatory investigations (“Reportable Matter”), and ensuring they are handled in a fair, transparent, objective, and factual manner in accordance with the policy and procedures and regulatory requirements of CI's various entities, including its wealth and asset management firms, registered provincially and/or under the Canadian Investment Regulatory Organization (CIRO).
WHAT YOU WILL DO
In close and constant collaboration with the CRI Team investigating compliance officers (“CRI Investigating Officer”) and the CRI Team’s management:
- Assist with the administrative handling and filing throughout the Reportable Matter investigation process including but not limited to:
- Preparing the Reportable Matter Investigation file which includes the creation of the electronic Reportable Matter file where all the relevant documentation and communications will be maintained within the CRI SharePoint.
- Preparing inquiries and requests for information from stakeholders promptly
- Supporting the CRI Investigating Officers with researching documentation, requesting and reviewing the relevant data, liaising with relevant stakeholders in order to contribute to:
- The delivery of the Reportable Matter Investigation Analysis that includes a summary of the facts, nature of the incident, previous/related issues, mitigating and/or aggravating factors, involved parties’ comments, an assessment of potential liability, and the CRI Investigating Officer’s comments and recommended sanctions
- The drafting of CRI response correspondence (including Acknowledgement Letters, Substantive Response Letters, Cover Letters, Settlement Letters, Claim Forms)
- The conclusion, closing and filings of the Reportable Matter.
- Monitoring, documenting and tracking open inquiries, issues, and timelines related to all assigned Reportable Matters and providing updates to the relevant stakeholders within the CRI Team (the Reportable Matter CRI Investigating Officer, and/or the CRI Team’s management where necessary) for potential issue management/escalation.
- Conducting a quality review to ensure all Reportable Matter files include all the necessary elements to comply with the CRI Incident and Complaint Handling Policy and regulatory requirements for complaint and investigation files and thus support the CRI Investigating Officer with the closing of the Reportable Matter files.
- Assist the CRI Team with the daily monitoring, handling and answering of inquiries in the various CRI email inboxes.
- Provide support to the CRI Team’s management as part of the Reportable Matter handling and ad-hoc projects, other compliance tasks, or duties.
- Liaise with Agents, Branch Managers, Compliance Management, Legal Department, Executive Management Group, CIRO, and other regulatory and insurance business partners to assist with the resolution of Reportable Matters, as appropriate.
WHAT YOU WILL BRING
- Post-secondary education, University degree or equivalent experience.
- 5+ or more years of relevant investment industry experience dealing with a CIRO member firm or Investment Fund Company.
- Completion or progress toward industry related designations such as Canadian Securities Course (CSC), or the Conduct and Practices Handbook (CPH), is considered an asset.
- Current knowledge of: regulations including relevant National Instruments; CIRO ID and MFD and other SRO Rules, Policies and Regulatory Notices; CSA National and Multilateral Instruments; applicable provincial and territorial securities rules and regulations.
- PC literate with advanced knowledge of MS Office (Excel, Outlook, PowerPoint and Word).
- Experience in operations and service support, and data processes, is considered an asset.
- Strong analytical mindset and detailed-oriented.
- Strong communication skills, verbal and written.
- Ability to work both collaboratively and autonomously.
- Ability to handle multiple tasks and priorities effectively.
- Experience reviewing and applying CIRO (ID and MFD divisions) or National Instruments compliance requirements is considered an asset.
- Experience managing complaints and investigations, preferably across different registration categories considered an asset.
A Supportive Environment for Success
We offer an in-office environment, competitive benefits, and a supportive workplace to help our employees thrive both personally and professionally.
WHAT WE OFFER
- Modern HQ location within walking distance from Union Station
- Training Reimbursement
- Paid Professional Designations
- Employee Savings Plan (ESP)
- Corporate Discount Program
- Enhanced group benefits
- Parental Leave Top–up program
- Paid time off for Volunteering
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.
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