56 Regulatory Compliance jobs in Toronto
Regulatory Compliance Lead
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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.
Senior Regulatory Compliance Specialist
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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.
Junior Associate Director, Regulatory Compliance
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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.
Toronto Risk & Compliance - Regulatory Compliance (Financial Services) Experienced Consultant
Posted 23 days ago
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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) Senior Consultant
Posted 23 days ago
Job Viewed
Job Description
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.
Compliance Officer, Complaints and Regulatory Investigations - Contract
Posted today
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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.
Legal and Compliance Coordinator
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Job Description
Job Description
StrategyCorp Inc. is seeking a Legal and Compliance Coordinator to join our team in Toronto.
WHO WE ARE
StrategyCorp is a consulting firm focused on delivering integrated government relations, strategic communications, and management consulting services. From its offices in Toronto and Ottawa, StrategyCorp services clients across Canada and around the world.
THE OPPORTUNITY
We are seeking a motivated and detail-oriented Legal and Compliance Coordinator who will be a junior professional responsible for supporting the firm’s legal, compliance, and internal policy functions within a consulting environment.
The successful candidate will support our internal legal team with a primary focus on ensuring that all lobbying and other regulated activities are conducted in full compliance with applicable regulatory requirements.
This role will also assist our internal legal team with the coordination and review of client contracts and Letters of Engagement as well as the maintenance of internal policies and procedures so they remain accurate and compliant. The ideal candidate will also be able to provide administrative support that aid in overall client and project management compliance.
KEY RESPONSIBILITIES
- Maintain accurate lobby registration compliance across multiple jurisdictions.
- Review client contracts, Letters of Engagement, and related legal documents.
- Coordinate contract execution, liaising with clients on revisions, signatures, and compliance requirements.
- Assist in the documentation of minor contract amendments under supervision.
- Maintain accurate and organized records of contracts and compliance documentation.
- Assist in updating and monitoring internal policies, procedures, and compliance frameworks.
- Support senior staff in ad hoc legal, compliance, or administrative matters.
QUALIFICATIONS
- Paralegal diploma or equivalent post-secondary paralegal training.
- Licensed Paralegal with the Law Society of Ontario in good standing.
- Internship or co-op experience in a paralegal or compliance role preferred.
- Strong organizational skills with excellent attention to detail.
- Ability to communicate clearly and professionally with regulators and colleagues.
- Comfortable working in a fast-paced, deadline-driven environment.
- Demonstrated ability to manage multiple priorities in a fast-paced environment.
- Strong problem-solving skills and ability to think on your feet.
- Strong problem-solving skills with the ability to work independently and as part of a team.
- Proficiency in Microsoft Office Suite (Word, Excel, Outlook, Teams).
- Experience in lobbying registration an asset
- Opportunity to work in a collaborative and high-impact environment.
- Competitive Salary
- We'll cover your licensing and CLE fees!
- Hybrid work environment
- Career development; we believe in growing our people and helping them achieve their goals
- Health benefits & Wellness Account, covered by us!
- 3 weeks of vacation, flex days and a long break during the holidays
- Parental Leave Top-up
- Phone allowance
- And a whole lot more…
StrategyCorp is a fast-paced environment where you’ll get the opportunity to work on interesting projects and develop your career. You’ll be working with a dynamic team on a variety of clients, giving you exposure to complex issues and projects that provide outstanding opportunities to learn and grow as a professional.
StrategyCorp Inc. is an inclusive, equal opportunity employer that values diversity. We also offer reasonable accommodations to applicants with disabilities. If you need assistance or an accommodation due to a disability, please let us know when you submit your application.
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