Operations and Regulatory Compliance Specialist (Senior)

TL;DR

Operations and Regulatory Compliance Specialist (Senior) (Finance): Monitoring and reporting on operational compliance matters, maintaining policies, and providing regulatory support for investment programs with an accent on mutual fund regulations and risk management. Focus on ensuring compliance standards are accurately communicated, identifying emerging risks, and streamlining processes through automation.

Location: Must be based in Canada. The role follows a flexible hybrid schedule, currently based in Toronto with a transition to Mississauga in late 2026.

Salary: $79,000–$96,000 CAD (Base salary plus target bonus).

Company

A leading financial services firm dedicated to helping Canadian investors build better financial futures for over 35 years.

What you will do

• Act as a subject matter expert for Transfer Agency and back-office compliance programs.
• Continuously improve compliance programs including privacy, sales communications, and institutional programs.
• Provide ongoing compliance support to marketing, client services, and sales business units.
• Analyze monitoring processes to identify areas for improvement and automation.
• Develop and update compliance policies to align with regulatory changes.
• Prepare materials for executive committees and regulatory training programs.

Requirements

• Current work authorization for Canada is required.
• Minimum of 4 years of experience in a mutual fund manager or dealer compliance role.
• Post-secondary degree or equivalent work experience.
• Knowledge of mutual fund regulations including NI 31-103, NI 81-102, and FATCA/CRS.
• Excellent analytical, research, and communication skills.
• Proficiency in Microsoft Word, Excel, and PowerPoint.

Nice to have

• Experience in mutual fund operations or client services.
• Bilingualism in English and French.
• Enrollment in Canadian Securities Course (CSC) or Canadian Investment Funds Course.

Culture & Benefits

• Competitive total compensation package including company-funded RRSP contributions.
• Comprehensive health benefits starting on day one with 100% employer-paid premiums.
• Parental leave top-up to 100% of salary for 25 weeks.
• Flexible working arrangements including hybrid options.
• Access to over 11,000 professional development courses and tuition reimbursement.
• Generous time-off policy including volunteer days.