Regulatory Compliance and Affairs Advisor

Résumé du poste

The advisor acts as a senior subject matter expert to manage complex regulatory matters, investigations, and compliance programs within the securities brokerage industry. They also contribute to the development of internal policies, coordinate regulatory examinations, and provide guidance to senior management on compliance risks.

Détails du poste

Regulatory Compliance and Affairs Advisor Reporting to the Director, Compliance and Chief Compliance Officer (CCO), the incumbent serves as a senior subject matter expert within the Compliance Department and contributes to the management of key regulatory matters and complex compliance cases. What is in it for you: • Annual salary between 100K-140K, based on experience, plus performance bonuses. • Permanent full-time position, 37.5 hours per week. • Hybrid work model with 3 days per week in the office, located in modern offices in downtown Montreal. • 2 remote workdays of the employee's choice. • Office attendance required on Wednesdays. • 4 weeks of vacation, 5 sick days, and 1 personal day per year, plus 2 additional days during the Christmas holiday period. • Comprehensive group insurance coverage, including medical, dental, and telemedicine services. • Group RRSP program with employer contributions. • Employer covers 20% of the OPUS transit pass. • Mental and physical wellness initiatives. • Participation in community projects. • Internal learning and professional development opportunities. • Regular activities promoting team cohesion and employee well-being. Responsibilities: • Act as a senior expert on regulations governing brokerage activities, particularly in the securities industry. • Analyze new regulatory requirements and contribute to their implementation within the organization. • Lead or support complex compliance matters, including investigations, complaints, high-risk outside business activities, conflicts of interest, vulnerable client cases, product approvals, and other situations requiring advanced regulatory expertise. • Contribute to the governance and oversight of regulatory programs, including Anti-Money Laundering (AML) and FATCA/CRS requirements. • Participate in the development, updating, and implementation of policies, procedures, and internal controls. • Play a key role in preparing for and following up on regulatory examinations and coordinating resulting action plans. • Contribute to audit and monitoring activities and analyze identified trends and risks to recommend appropriate actions. • Serve as a resource person for compliance teams, supervisors, and senior management on complex regulatory matters. • Participate in organizational projects involving regulatory considerations and support teams in identifying and managing compliance risks. • Work closely with legal, operations, and business teams to analyze and resolve compliance issues. • Support the CCO in assessing regulatory matters, identifying compliance risks, and continuously enhancing the compliance program. • Take ownership of priority projects or initiatives requiring coordination across multiple functions within the department or organization. What you will need to succeed: • Significant compliance experience within the financial services industry, including extensive experience in the securities brokerage sector. • Strong knowledge of regulations applicable to investment dealers, particularly CIRO (Canadian Investment Regulatory Organization) rules and Canadian Securities Administrators (CSA) requirements. • Solid understanding of securities industry products and activities, including equities, fixed income securities, ETFs, structured products, and other investment products. • Demonstrated experience interpreting and applying regulatory requirements and managing complex compliance matters within an investment dealer environment. • Completion of industry courses relevant to the securities sector, including the Canadian Securities Course (CSC) and courses required or recognized for supervisory functions at an investment dealer. Equivalent education or relevant experience will also be considered. • Experience in brokerage supervision, trade surveillance, discretionary portfolio management, or regulatory audit functions is considered a strong asset. • Excellent judgment and the ability to analyze complex situations, identify regulatory risks, and provide clear, practical recommendations. • High degree of autonomy and ability to manage sensitive or high-priority matters with minimal supervision. • Ability to translate complex regulatory requirements into practical guidance and solutions that meet compliance obligations while considering operational and business realities. • Ability to exercise influential leadership and work effectively with compliance teams, supervisors, advisors, and senior management. • Excellent communication skills in both French and English to effectively interact with internal teams, regulatory authorities, business partners, and clients across Canada, as well as to analyze, draft, and interpret complex regulatory documentation. Why Recruit Action? Recruit Action (agency permit: AP-2504511) provides recruitment services through quality support and a personalized approach. As part of the screening process, some applications may be reviewed using artificial intelligence tools. Only candidates who meet the hiring criteria will be contacted.

Ce que vous ferez

The advisor acts as a senior subject matter expert to manage complex regulatory matters, investigations, and compliance programs within the securities brokerage industry. They also contribute to the development of internal policies, coordinate regulatory examinations, and provide guidance to senior management on compliance risks.

Exigences

Candidates must have significant compliance experience in the financial services industry, specifically with investment dealers and CIRO/CSA regulations. Strong analytical skills, the ability to manage sensitive regulatory matters, and relevant industry certifications like the Canadian Securities Course are required.

Avantages

• Performance bonuses • 4 weeks of vacation • 5 sick days • 1 personal day • Christmas holiday period leave • Comprehensive group insurance • Medical services • Dental services • Telemedicine services • Group RRSP program • Employer transit pass contribution • Mental and physical wellness initiatives • Professional development opportunities

Compétences indiquées

• Regulatory Compliance · Souhaitée
• Risk Management · Souhaitée
• Communication · Souhaitée
• Audit · Souhaitée

Autres compétences pertinentes

Relevées dans la description du poste. Confirmez les exigences importantes ci-dessus.

• Regulatory compliance
• Securities brokerage
• CIRO regulations
• CSA requirements
• Anti-Money Laundering
• FATCA
• CRS
• Risk management
• Internal controls
• Regulatory examinations
• Audit
• Trade surveillance
• Discretionary portfolio management
• Financial services
• Influential leadership
• Communication
• Foreign Account Tax Compliance Act
• Regulatory Documents
• Compliance Risk
• Bilingual (French/English)
• Artificial Intelligence
• Auditing
• Brokerage
• Internal Controls
• Management
• Investments
• Regulatory Compliance
• Equities
• Financial Services
• Fixed Income
• Governance
• Leadership
• Operations
• Portfolio Management
• Structured Product
• Telehealth
• Securities (Finance)
• Anti Money Laundering
• Coordinating
• Investigation

Domaines d’emploi

• Finance & Accounting
• Legal
• Management & Leadership
• Security & Safety
• Regulatory Affairs Advisor
• Ethics Compliance Manager
• Legal Professionals Not Elsewhere Classified
• Compliance Managers
• Managers, All Other