Compliance Specialist Jobs in Ontario
A Compliance Specialist in the finance industry is primarily responsible for ensuring that the organization adheres to a variety of regulations, laws, and professional standards. They monitor, evaluate and communicate the organization's compliance status with respect to these regulations. They often conduct regular audits, implement compliance strategies, and provide compliance training to employees. Some Compliance Specialists may also be involved in developing targeted risk assessment methodologies, carrying out specific risk assessments, and building risk management plans.
Important skills for a Compliance Specialist include strong analytical abilities, excellent attention to detail, and solid communication skills. Knowledge of regulatory laws and standards in the finance industry is crucial. Compliance Specialists should also be able to use auditing software and other tools. In terms of certification, Certified Regulatory Compliance Manager (CRCM) is a popular one, while Certified Anti-Money Laundering Specialist (CAMS) and Certified Financial Crime Specialist (CFCS) are also useful. Previous job roles for someone considering becoming a Compliance Specialist may include Compliance Analyst, Risk Analyst, or Regulatory Affairs Specialist.
MFR's and non-registered staff with respect to the sales and other activities in respect of mutual funds distributed by SSI and TIFL....
Application Deadline: 03/17/2025 Address: 100 King Street West Job Family Group: Audit, Risk & Compliance The successful candidate will work with the Capital Markets Compliance team in...
Clinical Compliance Associate Job Description We are seeking a dedicated Clinical Compliance Associate to oversee the accuracy and quality of data for research projects within designated research...
Senior Compliance Officer, Wealth Distribution Complaints & Investigations
- Toronto, ON
- 7 days ago
- Toronto, ON
- 7 days ago
Requisition ID: 219039 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. Purpose Support the Wealth Management Complaints and Investigations...
Senior Compliance Officer, Advisory - Canadian Wealth Distribution Compliance
- Toronto, ON
- 7 days ago
- Toronto, ON
- 7 days ago
Requisition ID: 219057 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. Purpose Contribute to the overall success of the Canadian Wealth...
Senior Compliance Officer, Capital Markets Compliance Program Governance
- Toronto, ON
- 9 days ago
- Toronto, ON
- 9 days ago
Application Deadline: 03/19/2025 Address: 100 King Street West Job Family Group: Audit, Risk & Compliance Working closely with the Canadian Capital Markets (CM) CCO, Managing Director, Trade...
JOB PURPOSE: Reporting to the Health, Safety and Wellness Manager, the Health, Safety & Wellness Compliance Auditor is responsible for providing support in all areas of health and safety. The...
Chief Compliance Officer Corpay Cross-Border Division
- Toronto, ON
- 21 days ago
- Toronto, ON
- 21 days ago
Chief Compliance Officer Corpay Cross-Border Division London, UK New York, NY, USA Peachtree Corners, GA 30092, USA Toronto, ON, Canada Virtual Req #10934 Wednesday, February 19, 2025 About...
We are seeking a talented, energetic students to join the Procurement team in our Milton location as Procurement Compliance Coordinator Co-Op for the duration of 4 months (May 2025 August 2025)...
About AGF: Founded in 1957, AGF Management Limited (AGF) is an independent and globally diverse asset management firm. Our companies deliver excellence in investing in the public and private...
Operational Compliance Associate- Thunder Bay, Ontario
- Thunder Bay, ON
- 45+ days ago
- Thunder Bay, ON
- 45+ days ago
What We Do Care Access is a unique, multi-specialty network of research sites which operates as one connected team of physician investigators, nurse coordinators, and operations managers. Our goal...
Risk and Compliance Analyst - Master's Level Internship
- Etobicoke, ON
- 60+ days ago
- Etobicoke, ON
- 60+ days ago
Job Title: Risk and Compliance Analyst - Master's Level Internship Level: Masters Level Internship Department: Finance Duration: 520 Hours (approximately 3 months) Work location: Remote (with...
Remote WorkResponsible for the day-to-day activities and delivery of Global Regulatory Affairs support services. Role will include management of clinical trial applications to Competent Authorities, Ethics...
Compliance Specialist Online Courses and Training Opportunities
Title Synonyms
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Salary for Compliance Specialist Jobs in Ontario
Required or preferred licenses and certifications for Compliance Specialist positions.
Highest Education Level
Compliance Specialists in Ontario offer the following education backgroundQualifications / Skill Sets
The following top skills are often required or desired to land a Compliance Specialist position
- Employment Law
- Customer Satisfaction
- Translation
- Medical Device Sales
- FDA Regulations
- ISO 13485
- Education Experience
- Certified Fraud Examiner
- 21 CFR 820
- Treasury
- Comprehensive Capital Analysis and Review
- Treasury Management
- BSA
- Balance Sheets
- Securities and Exchange Commission
- Federal Acquisitions Regulations (FAR)
- Internal Control
- Capital Markets
- Fixed Income
- Investment Banking
- Lending
- Client Relationships
- Cost Accounting
- Financial Analysis
- Sarbanes-Oxley Compliance
- Anti-Money Laundering
- Financial Services
- Management Consulting
- Due Diligence
- Fraud Investigation
- Acquisitions
- Resolution
- Finance
- Change Management
- Reimbursement
- Accounting
- Strategy Development
- Risk Management
- Implementation
- Decision Making
- Auditing
- Investigation
- Consulting
- Written Communication
- Collaboration
- Documentation
- Interpersonal Skills
- Reporting
- Bachelor's Degree
- Filing
- Microsoft PowerPoint
- Regulations
- Policy Development
- Microsoft Excel
- Microsoft Office
- Problem Solving
- Research Skills
- Time Management
- Staff Supervision
- Organization
- Scheduling
- Leadership
- Communication Skills
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