TORONTO, ON

We are looking for a Compliance Specialist to join our Private Capital Compliance team. Reporting to the Chief Compliance Officer, you will support the overall compliance function of the business. You will be one of the primary resources for the firm’s Wealth Advisors, Associates and Regulators. This is a content heavy position that will require a deep understanding of the business and the ability to manage a high volume of information flowing from both internal and external sources.

• Provide compliance-related project oversight and support,
• Assist in development or revision of policy and procedure documentation and guidelines
• Support for system/application transition e.g. records’ reconciliation between APX and Salesforce, development of Compliance cases
• Deliver compliance-related training to staff
• Actively participate in Compliance Team meetings with AMIX, Operations and .
• Provide support for and review regulatory filings and reviews such as Pooled Fund Filings, OSC Investment Fund Survey, and Risk Assessment Questionnaires, other regulatory inquiries and audits
• Cross reference disciplinary notices provided by regulatory bodies
• Maintain a registration listing of the company’s individual registrants
• Review and maintain referral arrangements to ensure compliance with the requirements of National Instrument 31-103 (“NI 31-103”)
• Review accounts quarterly to ensure that non-resident investments are within allowable limits
• Review medium and high-risk clients for suspicious activity
• Know Your Client (“KYC”) – generate quarterly reports for registered staff (Wealth Advisors) and conduct weekly follow up’s
• Review client files to ensure they are accurate and complete
• Assist with Common Reporting Standard (“CRS”) and Foreign Account Tax Compliance Act (“FATCA”) reporting
• Ensure marketing materials are reviewed to ensure compliance with applicable legislation
• Perform regulatory compliance checks/spot audits to guarantee continuous regulatory compliance
• Responsible for answering compliance-related questions to provide regulatory guidance regarding our products and services
• Stay up-to-date with regulatory changes