We are hiring a RMFI Compliance Senior Manager on behalf of Deloitte.

Responsibilities

- Provide compliance advisory services and oversight for securities-licensed and related sales activities across Mutual Fund Distribution, Financial Planning, Private Banking, Advice Centre, and Group Advantage.
- Deliver compliance guidance and oversight for business initiatives, learning programs, and strategic projects, while partnering with stakeholders to address regulatory and compliance considerations.
- Support compliance risk management activities, including risk assessments, impact analyses, and the identification and remediation of compliance gaps related to controls, audits, investigations, and regulatory developments.
- Contribute to Regulatory Compliance Management (RCM) and Issues Management through ongoing advisory support, oversight, monitoring, and reporting.
- Monitor and support upcoming regulatory changes by conducting impact and gap assessments, coordinating tracking and reporting activities, preparing comment letters, and collaborating with industry groups to provide feedback on proposed regulations.
- Coordinate compliance responses to regulatory examinations, as well as internal and external audit activities.
- Review, maintain, and update policies and procedures to ensure alignment with evolving regulatory requirements and business needs.
- Provide National Compliance support on operational matters by acting as a trusted advisor to operations, risk, and functional teams, including reviewing and addressing escalated compliance issues. This includes supporting Governance, Risk and Controls Implementation Office (GRC IO) initiatives to identify and manage Significant Areas of Risk in accordance with CIRO Rule 1500.




- Conduct compliance reviews of marketing materials and sales communications to ensure adherence to regulatory requirements and internal standards.
- Develop and maintain solid working relationships with business leaders and key functional partners across the organization.
- Support the Director and Chief Compliance Officer (CCO) in fulfilling additional compliance responsibilities and strategic initiatives as assigned.

Qualifications:

- University degree in business, finance or related discipline and Canadian Securities Course​
- ​​Minimum 5 years’ experience in the securities industry, with CIRO (MFDA or IIROC) regulatory compliance experience
- ​Project management experience to enable effective completion of assigned initiatives and ad hoc requests
- Operation support experience
- ​​Experience in transformational initiatives, including those with Artificial Intelligence or digital components
- ​Project management experience to enable effective completion of assigned initiatives and ad hoc requests
- ​Marketing advisory experience
- ​Innovative and a self-starter who works well under pressure
- ​Team player who works collaboratively with others
- ​Impact and Influence – Ability to communicate effectively and diplomatically with individuals at all levels
- ​Excellent communication, inter-personal and writing skills
- ​Strong research, problem solving and analytical skills, including acute attention to detail
- ​Committed to detailed understanding of regulatory requirements and business innovations

Pay: $85.00-$100.00 per hour

Ability to commute/relocate:

- Toronto, ON: reliably commute or plan to relocate before starting work (required)

Experience:

- IIROC: 2 years (required)
- mutual funds: 1 year (preferred)
- CIRO : 3 years (required)
- securities industry: 5 years (preferred)

Work Location: Hybrid remote in Toronto, ON

📌 Compliance Senior Manager (Toronto)
🏢 Allevar
📍 Toronto