Compliance Officer

Reporting to the Compliance Manager, the Compliance Officer is responsible for the dayto-day compliance activities at CDSPI. You will act as a trusted advisor to the business by providing subject matter expertise and recommendations. You have excellent analysis, research and written/verbal communication skills and are interested in continuous learning and development. You enjoy working in a progressive and dynamic work environment, where innovation is encouraged, and existing processes are continually being enhanced. You are organized, detail oriented, and can effectively manage multiple tasks and adapt quickly to new priorities.


  • Review CDSPI’s sales and marketing communications to ensure compliance with business and regulatory requirements.
  • Resolve operational compliance questions, including discussions with all levels of staff in various business units to analyze compliance related issues.
  • Provide expertise on the relevant laws and regulations applicable to CDSPI operations.
  • Research complex legislation, regulations, industry guidelines and corporate requirements. Prepare clear and thoughtful analysis including the impact on CDSPI.
  • Develop and maintain strong knowledge and understanding of CDSPI’s overall compliance policies, and industry related regulatory guidelines and governing legislation (e.g. PCMLTFA, PIPEDA, CASL, AODA).
  • Participate in corporate and departmental projects, providing compliance advice and expertise as required.
  • Consult on new products, services, processes and system changes to incorporate compliance requirements.
  • Support the Compliance Manager to resolve compliance issues in a timely manner including any related reporting and certification processes.
  • Assist with developing and delivering training on regulatory requirements and compliance policies.
  • Act as an educational resource regarding applicable compliance matters and questions.
  • Support oversight of key compliance controls.
  • Other duties as assigned by the Compliance Manager or the Chief Operating Officer.

Knowledge & Skills

  • Minimum of 5 years experience in financial services industry in administrative, operational or compliance roles, with at least 3 years of relevant compliance related accountabilities.
  • Knowledge of regulatory/ compliance requirements within the operations of the Canadian investment and/or insurance services industry (PCMLTFA, PIPEDA, CASL, FATCA/CRS)
  • Excellent analytical and investigative skills with strong attention to detail. • Excellent verbal and written communication skills.
  • Strong organizational skills and ability to prioritize, multi-task and meet deadlines.
  • Strong interpersonal skills and ability to build relationships and influence change effectively with a broad range of individuals and teams without direct leadership accountabilities.
  • Ability to take initiative and work independently.
  • Team player mindset with a proven ability to interact with all levels of management and staff.
  • Compliance certifications are an asset (Partners, Directors and Senior Officers Course; Chief Compliance Officers Qualifying Examination; Branch Compliance Officer’s Course)
  • Proficient in MS Office

Please submit applications through Linkedin by August 15, 2022

Note: Given the current circumstances, this position will work from home 100% of the time. As working conditions return to normal, the position will shift to a hybrid working arrangement out of our Toronto office. CDSPI is committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. If you require an accommodation for the recruitment/interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.

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