The Manager, Financial & Operations Compliance leads and manages field examinations performed by Financial & Operations Compliance Examiners to ensure that policies, Regulations and By-laws regarding the operations, internal controls and financial viability of member firms have been met.
About the Opportunity
- Responsible and accountable for managing the “prudential regulatory oversight” of their portfolio of Dealer Member to ensure that the risks to the investing public, provincial securities commissions and CIPF are appropriately mitigated
- Ensure that regulatory filings from Member Firms are reasonable and filed on a timely basis
- Ensure the effective and efficient planning and execution of the examination process
- Initiate timely and appropriate regulatory intervention measures to minimize investor loss by Dealer Member(s) facing financial or operational stress
- Ensure department objectives are met through the effective management, training and development of department staff
- CPA accounting designation
- 10+ years of audit experience in the Financial Services industry
$100,000 - $120,000/year
How to Apply
Click the “Apply Now” button and follow the instructions to submit your resume. Please note that we only accept documents in MS Word or Rich Text formats. When referencing this job, quote #24940.
You must currently reside within the Greater Toronto Area and be permitted to work in Canada to be considered for this opportunity. A recruiter will be in touch with you if your profile meets our client’s requirements for this role.