Job Description

Compliance Manager

The Compliance Manager plays a vital role in supporting and advancing the Organization's compliance framework. The successful candidate will provide compliance guidance on corporate and departmental projects and consult on new products and system automation. Responsibilities include identifying training needs, developing and implementing compliance policies, monitoring regulatory requirements, and supporting audits and regulatory reviews. The role also involves reviewing marketing materials, managing the contract database, and serving as a subject matter expert for internal stakeholders. This position requires strong relationship-building skills, cross-functional collaboration, and the ability to provide practical, business-oriented compliance solutions.

Key Responsibilities

Actively participate in and contribute to corporate and departmental projects, providing compliance support and guidance as appropriate. Consult on new products, services, and system automation to ensure compliance requirements are incorporated into these initiatives. Assess training needs and support training programs based on gaps identified through compliance monitoring. Lead compliance-related projects and initiatives, developing practical solutions and coordinating implementation. Develop, implement, and monitor compliance policies and procedures, raising issues or concerns to the Senior Manager, Governance, Risk and Compliance. Identify and monitor regulatory requirements, assess compliance risks, and address areas of non-compliance. Support and coordinate efforts related to regulatory reviews, inquiries, and audits. Review marketing materials to ensure accuracy, clarity, fairness, and compliance with disclosure requirements. Manage the contract database. Provide ad hoc expertise to advisory and administrative teams to ensure ongoing compliance with legislative and regulatory requirements. Build and maintain effective relationships with key stakeholders and act as a subject matter expert on compliance matters. Develop an expert understanding of departmental and business challenges to foster strong internal and external networks, working across multiple teams to achieve organizational objectives. Collaborate with external advisors, including legal counsel. Perform other duties as assigned by the Senior Manager, Governance, Risk and Compliance or the Chief Operating Officer.
Qualifications, Skills & Experience

5+ years of proven and progressive compliance leadership experience. 8+ years of experience in the Canadian investment and insurance services industry, with demonstrated knowledge of the regulatory environment, applicable laws, regulations, industry trends, and best practices. Strong knowledge of regulatory and compliance requirements within Canadian investment and insurance operations (PCMLTFA, PIPEDA, CASL, FATCA/CRS). Relevant compliance certifications (e.g., Partners, Directors and Senior Officers Course; Chief Compliance Officers Qualifying Examination; Branch Compliance Officer's Course). Excellent analytical and investigative skills with strong attention to detail. Strong organizational skills with the ability to prioritize, multi-task, and meet deadlines. Strong interpersonal skills with the ability to build relationships and influence change across a broad range of individuals and teams without direct authority. Ability to take initiative and work independently. Excellent verbal and written communication skills. Proficiency with MS Office Suite.
Work Environment

Hybrid work model: combination of remote and in-office work. Attendance at the Organization's Toronto office as required, in accordance with company policy.
Job Type: Full-time

Pay: $100,000.00-$120,000.00 per year

Benefits:

Company events Dental care Disability insurance Employee assistance program Extended health care On-site gym On-site parking Paid time off RRSP match Tuition reimbursement Vision care
Ability to commute/relocate:

North York, ON: reliably commute or plan to relocate before starting work (preferred)
Education:

Bachelor's Degree (preferred)
Experience:

Financial Compliance: 5 years (preferred)
Work Location: Hybrid remote in North York, ON