Compliance Officer

Location: Toronto, ON; hybrid arrangement with 1–3 days per week on-site

Company

A relationship-oriented bank providing commercial banking, wealth management, and asset management services.

What you will do

• Monitor adherence to applicable laws, regulations, internal policies, and standards of business conduct.
• Review daily trading reports, investigate potential compliance breaches, and support personal trading administration and reporting.
• Assess securities trading permissibility as part of control room activities.
• Review continuous statutory disclosure documents, including prospectuses and fund performance reports.
• Advise Global Asset Management, infrastructure partners, and business teams on personal trading and compliance matters.
• Maintain procedures, support policy updates, deliver compliance training, and contribute to special projects.

Requirements

• 3–5 years of financial services industry experience, including 1–3 years in compliance, auditing, or investment management.
• Understanding of accuracy, timeliness, sound judgment, and regulatory obligations in a regulated environment.
• University degree preferred; completion of, or willingness to complete, the Canadian Securities Course and Conduct and Practices Handbook.
• Strong organization, attention to detail, written and verbal communication, and relationship-building skills.
• Working knowledge of Microsoft Word, Outlook, Excel, and PowerPoint.
• Legally eligible to work in Canada and able to provide a valid work or study permit where applicable.

Nice to have

• French language skills.

Culture & Benefits

• Hybrid work environment with flexibility to manage work activities.
• Competitive salary, incentive pay, banking benefits, and a benefits program.
• Defined benefit pension plan, employee share purchase plan, and vacation offering.
• Wellbeing support and employee recognition programs.
• Professional development opportunities, including a paid Purpose Day.

Hiring process

• Applicants may complete an attribute-based assessment and other skills tests, including a French proficiency assessment where applicable.
• Artificial intelligence tools may be used during recruitment.