Wealth Management Regulatory Compliance Officer
Location
Toronto, Ontario
Job Type
Full-time
Category
Other-General
Posted
November 30, 2022
Description:
These roles are within one of our large Canadian banking clients' wealth management compliance groups. On a day to day basis, successful candidates will be responsible for the following:
- Attend meetings with team members and stakeholders to determine what changes in regulatory requirements are coming and the controls associated with them.
- Ensure the controls designed to address the regulatory risk are appropriate in nature. - Receive, read and review regulatory requirements while creating summaries of them.
- Gain a thorough understanding of the current controls set in place to address regulatory requirements, and determine whether any changes to those controls may be needed. - Assist in documentation process of business controls.
Additional Skills & Qualifications: Candidates should have the following: - Strong attention to detail: Will be responsible for reviewing strict regulations and creating controls for them. - Good understan...
- Ensure the controls designed to address the regulatory risk are appropriate in nature. - Receive, read and review regulatory requirements while creating summaries of them.
- Gain a thorough understanding of the current controls set in place to address regulatory requirements, and determine whether any changes to those controls may be needed. - Assist in documentation process of business controls.
Additional Skills & Qualifications: Candidates should have the following: - Strong attention to detail: Will be responsible for reviewing strict regulations and creating controls for them. - Good understan...