Compliance Officer

Robert Half is partnering with a client in North York, Ontario, to identify a dedicated Compliance Officer who will play an integral role in supporting the organization’s risk and compliance practices. This position involves close collaboration with the Chief Compliance Officer to ensure the company consistently meets all regulatory requirements and upholds high internal standards. The successful professional will have the opportunity to contribute to a dynamic, growth-focused environment that values innovation, best practices, and ongoing process improvement.

Key Responsibilities :

• Review and assess new client documentation to verify compliance with applicable regulations and internal standards.
• Work closely with the marketing team to evaluate and approve marketing materials and online content for regulatory adherence.
• Maintain comprehensive records of compliance-related policies, procedures, and responsibilities as detailed within the organizational compliance calendar.
• Track and document employee compliance activities, including personal trading monitoring and acknowledgment forms.
• Conduct monthly reviews focused on Anti-Money Laundering (AML) and Anti-Terrorism financing compliance.
• Coordinate with IT to oversee and document the annual cybersecurity assessment process.
• Develop, update, and deliver training materials that promote compliance awareness throughout the organization.
• Assist with oversight of business operations, including fund accounting and trust accounting for pooled investment funds.
• Support the preparation and completion of third-party due diligence, regulatory surveys, and external audit requests.
• Liaise with regulatory bodies, addressing inquiries and supplying required documentation as needed.
• Quick to learn new technologies and systems.
• Strong verbal and written communication skills for sharing complex information clearly.
• Effective problem-solver with a practical approach.
• Able to work independently in a fast-changing environment.
• Bachelor’s degree (or higher) in finance, economics, business, or a related field.
• 3–5 years’ compliance experience with a Portfolio Manager, Investment Fund Manager, or registered dealer.
• Knowledge of regulations for Portfolio Managers and NI 31-103 is a plus.
• Skilled at managing multiple priorities and meeting deadlines in a dynamic setting.

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