Regulatory Compliance Specialist

Location: North York (On-site, 5 days per week)

Language: English (Written and Spoken)

Background Check Requirement: Criminal and Credit Check required

We are partnering with a distinguished wealth management firm in North York to identify a dedicated Compliance Specialist. This organization is built on a "buy and hold" investment philosophy and values stability, integrity, and long-term client relationships. This is a pivotal time to join the team as they focus on future planning and sustainable growth.

You will play a crucial role in the firm's succession plan, working closely with the Chief Compliance Officer (CCO) to absorb knowledge and eventually step into senior leadership. Beyond compliance, you will gain exposure to the full realm of the business, acting as a trusted backup for trading activities and ensuring the firm remains a pillar of trust for its clients.

• Step into a role with a clear runway for professional growth and succession into the CCO position.
• Work within a culture that values mentorship, offering you direct access to senior leadership.
• Join a stable, high-touch environment that prioritizes deep industry knowledge over high-frequency turnover.

• You’ll lead regulatory oversight. Monitor and interpret changes in OSC regulations, securities legislation, and anti-money laundering (AML) rules to ensure full compliance.
• In this role, you’ll manage risk. Conduct internal compliance audits, risk assessments, and support the maintenance of the firm's compliance framework.
• You’ll support trading operations. Execute stock trades on behalf of the firm, monitor activity for compliance, and resolve trade discrepancies or settlement issues.
• You’ll act as a subject matter expert. Provide guidance and training to staff regarding conflicts of interest, suitability, and regulatory updates.
• You’ll oversee reporting. Manage regulatory filings, coordinate with auditors, and ensure ongoing compliance with Know-Your-Client (KYC) obligations.

• 3–5 years of progressive experience in regulatory compliance within a CSA-registered company.
• Relevant professional designation (CPA, CFA, or Law Degree) preferred.
• Successful completion of the Canadian Securities Course (CSC) preferred.
• Demonstrated ability to review and approve trades with a keen eye for detail.
• Strong collaborative skills with a willingness to work fully in the office to support team cohesion.

“We’re looking for someone who wants to do more than just check boxes. We need a partner who is eager to learn the full realm of our business, grow with us, and eventually step into a leadership role as we plan for the future.”

If you’ve never worked with a staffing agency before, we make it easy. We work with top employers across Canada who have great jobs to fill, each vetted and verified by our team. When you apply for a job with Altis, we get to know you as a candidate and learn what your strengths are. Then, if you’re a solid match, we handle all the logistics, advocating for you as a candidate for the role, providing access to coaching and connecting you directly with the hiring manager.

And rest assured, all our services are free of cost for candidates.