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Senior Examiner, Financial and Operations Compliance (Closed)

About the Company

Our client is a well-established organization in the financial services industry. The role of the Senior Examiner, Financial & Operations Compliance leads and manages field examinations to ensure policies, regulations, internal controls and financial viability have been met.

About the Opportunity

• Accountable for managing regulatory oversight of portfolios to ensure that the risks to the investing public and provincial securities commissions 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 facing financial or operational stress
• Ensure department objectives are met through the effective management, training and development of department staff

About You

• CPA
• 5+ years in a regulatory or securities environment
• Familiar with company standards
• Audit experience

Salary Range

$80,000 - $100,000/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 #25368.

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.