- Location
- Toronto, Ontario
- Workplace
- Remote
- Department
- Compliance
- Seniority
- Entry
- Education
- Bachelor
- Source
- Lever
Description
Role Overview
We are seeking a Compliance Associate to support the company’s compliance function and contribute to maintaining a strong culture of compliance across the organization. Your focus will be to assist and support the compliance team in ensuring that the organization operates within the legal and regulatory frameworks.
Responsibilities will include:
● Assist in monitoring the company's compliance with relevant regulations, and internal policies
● Support periodic compliance reviews and assessments to identify potential issues, gaps, and risks
● Maintain accurate and organized compliance records, including policies, procedures and reports
● Assist with drafting, reviewing, and updating compliance policies, procedures, and other documentation
● Support internal compliance audits, reviews, control testing, and risk assessments, including gathering information and documenting findings
● Assist with the investigation and documentation of compliance incidents, breaches, and identified deficiencies
● Maintain compliance tracking logs and assist with tracking corrective actions, risk mitigation measures, and preparing periodic reports
Who you are:
● Bachelor's degree business, law, or a related field
● Has completed CIRE/CSC, Supervisory and/or trader exams through CIRO/CSI
● You possess knowledge of financial regulations and industry best practices
● You have strong analytical and problem-solving skills
● Excellent attention to detail and organizational abilities
● Impeccable communication skills and interpersonal skills
● Ability to work effectively both independently and as part of a team
● High degree of integrity, professionalism, and discretion, with an eagerness to develop knowledge of compliance and risk management.