TH
Regulatory Compliance Specialist
Toronto, Ontario
On-site
Full-time
No salary posted3 weeks agoJob Overview
Job Description Job Description REGULATORY COMPLIANCE SPECIALIST, Successful Investor Wealth Management Inc. We are an established wealth management firm with 20 years’ experience in independent portfolio management with assets under management of $1 billion and growing. We are transforming our business and experiencing significant growth, and as a result, we are looking for development-oriented individuals to join our organization. As a registered firm under the Ontario Securities Commission (…
What you'll do
- Ensure regulatory compliance with OSC requirements
- Monitor compliance activities and controls
- Maintain compliance documentation
- Assess regulatory risks
- Generate compliance reports
- Support firm's compliance framework
What you'll need
- Knowledge of Ontario Securities Commission (OSC) regulations
- Understanding of securities compliance requirements
- Ability to work with registered firms
- Strong organizational skills
- Compliance documentation experience
About the Company
TH