Compliance Specialist, Toronto
Compliance Specialist assists in the implementation, maintenance, and administration of the compliance program. This includes conducting compliance testing and reporting, identifying compliance issues and gaps, maintaining compliance training programs, monitoring regulatory development in securities legislation, and analyzing and reporting on the effectiveness of compliance policies and procedures.
- Investigate, follow up, and resolve business inquiries in a timely manner
- Conduct routine and ad-hoc compliance testing and monitoring. Identify and rectify areas of non-compliance
- Assist in the development and rollout of the compliance training process
- Undergraduate (or higher) degree in Business, Finance or related field
- 2-4 years of experience gained through increasingly responsible positions preferably within a finance, compliance, or risk management environment
- Completion of 1 of the following courses, preferred: Canadian Securities Course, Investment Dealer Compliance Course, Investment Dealer Supervisors Course, Chief Compliance Officers Qualifying Examination, ACAMS: Certified Anti-Money Laundering Specialist
We Value Our People:
OANDA Global Corporation is a diverse and global team with offices around the world. We value the unique skills and experiences each individual brings to OANDA. We are committed to creating and sustaining a collegial work environment in which all individuals are treated with dignity and respect and one which reflects the diversity of the community in which we operate. We provide an inclusive and accessible environment for everyone.
Candidates selected for an interview will be contacted directly. If you require accommodation during the recruitment and selection process, please let us know. We will work with you to provide as seamless a recruitment experience as possible.