Robert Half Finance & Accounting Compliance Officer in Toronto, Ontario
Compliance role for IIROC Licensed Candidate! Our client, an established full-service investment firm located in Toronto, Ontario, is looking for a Compliance Officer. This role as the Compliance Officer, reports directly into Director of Compliance and will be have ownership over complaints and investigations. The primary responsibilities for the Compliance Officer will be review and analysis of files, suitability, client complaint investigations, working with regulators (IIROC), assist legal counsel with litigation preparation, conducting investigation summaries, record and supervisory review.
Robert Half Finance & Accounting is the world's leader in specialized financial staffing. We provide exciting full-time opportunities in the areas of accounting, bookkeeping, finance, audit, taxation and more. We pioneered the professional staffing industry, and we've been successfully matching professionals with employers since 1948. Our proven proprietary processes, along with our relationships in more than 340 locations worldwide, allow us to provide you unparalleled access to exciting career opportunities.
But don't take our word for it. Our company once again was named to FORTUNE® magazine's list of "World's Most Admired Companies" and was the highest-ranked staffing firm. (March 1, 2016), and 9 out of 10 of our clients and candidates would recommend our service to a colleague.
Contact your local Robert Half Finance & Accounting office at 844.539.2523 or visit roberthalf.com/finance to apply for this job now or find out more about other job opportunities..
All applicants applying for U.S. job openings must be authorized to work in the United States. All applicants applying for Canadian job openings must be authorized to work in Canada.
Equal Opportunity Employer M/F/Disability/Vet
Req ID: 05070-0008935905
Functional Role: Compliance Officer
Postal Code: M5E 1S2
Compensation: $80,000.00 to $100,000.00 per year
Requirements: The primary responsibilities for the Compliance Officer will be review and analysis of files, suitability, client complaint investigations, working with regulators (IIROC), assist legal counsel with litigation preparation, conducting investigation summaries, record and supervisory review. A successful candidate for the Compliance Officer n Complaints & Investigations position will have a minimum of 5+ years in a compliance role, focussing on complaints & investigations, be licensed as an IIROC Supervisor and be well experienced in a similar role in an IIROC environment with Tier 2 supervision. . All IIROC compliance candidates please apply! For immediate, confidential consideration, please e-mail your resume to Linda Martone at firstname.lastname@example.org referencing Compliance Officer 05070-0008935905 in the subject line of your response. NO phone calls please. This position will involve travel.