No longer accepting applications

Financial Compliance Officer

Marberg Staffing Ltd.Toronto, Ontario

28 days ago

Job type

Full-time

Temporary

Quick Apply

Job description

UPDATE : Please be advised that this position is still open, but our Client is no longer accepting new applications at this time. Should the position re-open to additional Candidates, we will review your application, otherwise we will hold your resume on file for future job opportunities.

Financial Compliance Officer for government regulatory client, downtown Toronto.

Marberg Job Number : 2583.

Job Type : Temporary.

Initial Term : June 30, 2025 to October 17, 2025, with possibility of further extension.

Compensation : $34.06 per hour.

Regular Work Hours : FULL TIME WORK HOURS – 7 work hours per day, not including 60-minute unpaid lunch break, to be worked during regular business hours (35 work hours per week).

Work Location : Hybrid, with in person work occurring at Client's downtown Toronto office, near TTC station. Onsite work expectations subject always to client business requirements, and may change according to client business need.

Responsibilities Summary :

To monitor securities issuance reporting activities of reporting issuer companies, ensuring compliance with continuous disclosure, financial reporting, and participation fees obligations. Acts as primary point of contact for reporting issuers, external counsel and filing agents; responds to filing defaults, including preparing, issuing and revoking cease trade orders; ensures participation and late fees are correctly calculated and paid; and maintains relevant statistics relating to reporting issuers and continuous disclosure filings.

Maintain database of reporting issuer information and public reporting issuer list, including ongoing disclosure filings, fees, defaults and related comments.
Respond to inquiries and requests, and communicate with issuers, agents, issuer representatives and the public regarding SEDAR filings and continuous disclosure obligations.
Monitor continuous disclosure and take appropriate action to put reporting issuers on public reporting issuer list.
Conduct daily basic reviews of Annual and Interim Financial Statements, Auditor Reports, Management Discussion & Analysis, Certificates and Annual Information Forms filed on SEDAR, to verify regulatory compliance.
Conduct weekly review of Change in Auditor, Change in Status, Change in Year End, Documents Affecting the Rights of Shareholders, Management Proxy Material and Change in Corporate Structure filings.
Review plans of arrangement, amalgamations, reverse take-overs, etc., follow-up with issuer / filer as required, and make necessary updates in the database.
Prepare appropriate follow-up correspondence to issuer or issuer’s counsel to correct deficiencies, including re-filings and re-certifications.
Ensure appropriate annual participation fees are paid based on appropriate Issuer Class and Market Capitalization. Assess whether issuers are subject to late fees.
Monitor annual and interim continuous disclosure for filing defaults and determine the appropriate course of action, including issuing default notifications and preparing, issuing and revoking cease trade orders.
Coordinate searches, draft memoranda and prepare and compile supporting documentation for management approval.
Additional financial regulatory compliance review, reporting and procedural responsibilities as required.

Qualifications :

Education : Post Secondary Degree or Diploma in a legal, business or finance related field, or equivalent combination of experience and education.

Professional Credentials : Completion of Canadian Securities Course preferred.

Preferred Work Experience : At least 3+ years of related work experience, ideally from a regulatory compliance environment.

Preferred Sector Experience : Financial, legal, public safety, enforcement or similar sector.

Technical and Language Skills Requirements :

Advanced proficiency in MS Office, particularly Excel (will be tested).

Experience working with specialized databases.

Knowledge of DisclosureNet an asset.

Strong English communication skills, both written and verbal, including advanced level business writing skills, excellent reading comprehension skills, excellent proofreading skills, and professional telephone manners.

Task -Based Qualifications and Additional Attributes :

Demonstrated knowledge of Ontario securities legislation and understanding of Canadian securities regulatory environment.

Knowledge of annual and interim financial statements an asset.

Demonstrated record of professional conduct and character. Responsible, reliable and works to deadlines.

Pleasant and courteous. Demonstrated commitment to client service and professional representation of the organization.

Proven ability to professionally handle confidential information and exercise good judgement in the interpretation and application of instructions and organization policy.

Superior attention to detail, and organized, methodical approach to completion of tasks.

Demonstrated ability to work well both independently and collaboratively, and in an advisory capacity, and liaise effectively with a wide and diverse range of internal and external stakeholders.

Additional Requirements :

Must be legally entitled to work in Canada, providing satisfactory documentation upon request.

Ability to work both remotely and onsite, abiding by organization health and safety policies.

Ability to promptly provide 3 qualified employment references upon request who are available to speak with either Marberg or Marberg's client.

Ability to declare personal Non-Conflict of Interest in execution of assignment responsibilities.

Ability to complete a satisfactory Provincial Government security check.

Provision of certification of AODA and OHSA online training course completion prior to assignment start.

Additional satisfactory Background Checks, Technical Skills Evaluations, and Employment References as required.

Application Notes :

Recommended Application Date : We kindly request that you submit your resume as soon as possible, as our client will not accept applications after May 27, 2025. Qualified applications may be contacted same day as date of application.

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Financial Officer • Toronto, Ontario