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Compliance Officer

mtfxgroup.com Logo

MTFX INC

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Location:
Canada , Toronto

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Category:
Finance

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Contract Type:
Not provided

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Salary:

37.00 - 40.00 CAD / Hour
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Job Responsibility:

  • Establish and maintain policies and procedures for assessing compliance by the firm, and individuals acting on its behalf, with securities legislation
  • Monitor and assess compliance by the firm, securities legislation
  • Report to the ultimate designated person of the firm as soon as possible if the chief compliance officer becomes aware of any circumstances indicating that the firm, or any individual acting on its behalf, may be in non-compliance with securities legislation
  • Act as liaison with Regulators and other industry counterparts in gathering practical and technical knowledge about various compliance issues
  • Respond to requests for information including production orders from various Regulators
  • Provide compliance support as required on various compliance or management projects or new initiatives
  • Respond to requests from internal departments on various compliance issues
  • Management of regulatory and corporate audit process, including preparation of requested material and management responses to findings
  • Annual review of compliance infrastructure and report to UDP for compliance certification filling, if required
  • Participate and represent the firm at various conferences, seminars, and industry committees in an effort to stay abreast of new and upcoming regulations and best practices, and to be aware of regulatory “hot issues”
  • Continually upgrade professional education as required by regulators
  • Day to day management of PCMLTFA and Canadian Economic Sanctions regimes
  • Day to day management of Canadian financial services compliance regimes
  • Assure compliance with country laws, regulations, and Company policies and procedures
  • Manage Compliance Management System (CMS) internal audits and consultations
  • Update and maintain the CMS and its derivative programs
  • CMS consulting
  • CMS monitoring and testing
  • Externally sourced audits as appropriate
  • Produce periodic management reports
  • Make recommendations to management about cases of reputational risk
  • Carrying out any other tasks as may be requested from time to time
  • Manage Compliance Analyst staff
  • Member of the Canadian jurisdictional Compliance & AML Committees and Chair meetings
  • Analyze and provide advice on policies and procedures of the firm
  • Conduct research to determine efficiency and effectiveness of policies and programs
  • Conduct assessments and propose improvements to methods, systems and procedures
  • Conduct quality audits and develop quality management and quality assurance standards
  • Provide guidance and support to businesses on regulatory policies and procedures
  • ensure internal compliance with regulatory requirements
  • and prepare submissions and filings with regulatory bodies
  • Plan the reorganization of the operations of an establishment
  • May supervise contracted researchers or clerical staff

Requirements:

  • Thorough understanding of PCMLTFA
  • 3-5 years of experience in risk management and compliance
  • Bachelor’s degree in Business, Commerce, Accounting, or a related field
  • Good understanding of accounting principles and financial statements
  • Auditing experience required
  • Understand the risk of non-compliance
  • Team player adaptable to fast-paced and changing environment
  • Ability to manage tight processes, accuracy and attention to detail
  • Sense of urgency necessary to ensure customer transactions are reviewed promptly
  • Outstanding customer service skills
  • Ability to dive into the details and develop greater understand how customer electronic footprint is used in the transaction monitoring and decision matrices
  • Highly disciplined person, self-motivated, and delivery focused
  • Excellent communication skills both verbal and written
  • Excellent time management skills – Be able to organize and meet monthly, quarterly and annual deadlines for multiple licenses / regulatory request
  • Must be able to balance extreme pressure and deadlines with constantly changing priorities
  • Proficient in MS Office (Access, Excel, Word, PowerPoint and Visio)
  • Ability to travel internationally up to 10% of the time
What we offer:
  • Eligible for wage increases and bonuses
  • Eligible for dental insurance and extended medical insurance

Additional Information:

Job Posted:
December 10, 2025

Employment Type:
Fulltime
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