Elevate your career as a Senior Regulatory Compliance Specialist with Successful Investor Wealth Management Inc. in Toronto. Focus on compliance adherence within a dynamic wealth management environment.

In this senior-level role, you will work closely with the Chief Compliance Officer to ensure compliance with OSC regulations and securities laws. Your responsibilities will include monitoring regulatory changes, conducting internal audits, and managing compliance-related inquiries. Candidates committed to advancing their compliance expertise in wealth management will thrive here.

Key Responsibilities:
• Monitor and implement OSC and FINTRAC regulations
• Conduct internal audits and compliance assessments




• Assist in regulatory filings and reporting
• Provide compliance training for staff
• Support trade execution and reconciliations

Requirements:
• Bachelor's degree in Finance, Law, or related field
• Minimum 5 years of regulatory compliance experience
• Professional designation (CFA, CPA, Lawyer)
• Completion of Canadian Securities Course (CSC)
• Solid analytical and communication skills

Join Successful Investor Wealth Management and make an impactful contribution to the compliance landscape.
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📌 Senior Regulatory Compliance Specialist Toronto (Ontario)
🏢 The Successful Investor
📍 Ontario