Compliance Officer - Toronto, Canada - Investment Industry Regulatory Organization of Canada (IIROC)

Investment Industry Regulatory Organization of Canada (IIROC)

Verified Company

Toronto, Canada

2 weeks ago

Posted by:

Sophia Lee

beBee Recruiter

Description

Reference# 1049

Position Title:
Compliance Officer (MFDA Division)

Department:
Compliance

Region:
Toronto

Status:
Permanent Full-time (Hybrid)

New SRO is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada's debt and equity marketplaces.

New SRO is carrying on the regulatory functions of the Investment Industry Regulatory Organization of Canada and the Mutual Fund Dealers Association of Canada, and is committed to the protection of investors, providing efficient and consistent regulation, and building Canadians' trust in financial regulation and the people managing their investments.

As a Compliance Officer, you will be responsible for conducting examinations of Member firms to assess compliance with the by-laws, rules and policies.

Key Responsibilities:

Testing compliance with regulatory requirements in accordance with the examination program.
Conducting interviews with supervisory staff and representatives at Member firms.
Documenting a working paper file, including the testing performed and the supporting evidence obtained.
Preparing reports that document any identified deficiencies and working with Member firms to establish required actions to resolve the deficiencies.

Education/ Experience:

23 years in a compliance, regulatory or audit function.
A university degree in business or accounting.
Completion of the Canadian Securities Course, Branch Managers Course and/or the Partners, Directors and Senior Officers (PDO) Course considered an asset.

Key Skills and Competencies:

Solid knowledge of the mutual fund industry and audit requirements.
Ability to travel extensively in the GTA and some travel required within Canada.
Bilingual in French is an asset.

New SRO is committed to employment practices that are inclusive and accessible. Accommodations for individuals with disabilities are available. Should you require accommodation, please contact Human Resources.