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25+ jobs

Added 11 mins ago
SQ
District Manager
Sunlife Québec
Quebec, QC
- Full-time
Develop and execute on your District recruiting and sales power growth plan in alignment with overall SLFD objectives and advisor succession needs.
Added 11 mins ago
SQ
District Manager
Sunlife Québec
Levis, QC
- Full-time
Develop and execute on your District recruiting and sales power growth plan in alignment with overall SLFD objectives and advisor succession needs.
Added 11 mins ago
H
Global Mining Practice Business Development Leader
HDR
Kingston, ON
- Full-time
Build Strategic Client Relationships: Serve as a trusted advisor to mining companies and key partners, with a clear understanding of their assets, capital programs, operating priorities and…
Added 11 mins ago
RI
Insurance Advisor - Life, Health & Wealth
RBC Insurance
Halifax, NS
- Full-time
We are looking for self-motivated, highly driven and entrepreneurial individuals to join our Field Sales team at RBC Insurance. As an accredited Insurance Advisor Life, Health & Wealth…
Added 11 mins ago
RI
Insurance Advisor - Life, Health & Wealth
RBC Insurance
Truro, NS
- Full-time
We are looking for self-motivated, highly driven and entrepreneurial individuals to join our Field Sales team at RBC Insurance. As an accredited Insurance Advisor Life, Health & Wealth…
Added 12 mins ago
ML
Client Intake Specialist (Remote – Canada)
Maimone Legal
Remote, Canada
- $40,000 CAD / year
- Full-time
- Remote
Relevant Backgrounds: Legal Intake · Client Intake · Inside Sales · Admissions Advisor · Enrollment Counselor · Customer Success · Insurance Sales · Financial Services · Hospitality · Call…
Added 26 mins ago
H
Global Mining Practice Business Development Leader
HDR
Saskatoon, SK
- Full-time
Build Strategic Client Relationships: Serve as a trusted advisor to mining companies and key partners, with a clear understanding of their assets, capital programs, operating priorities and…
Added 42 mins ago
F
Manager, FP&A
Flywheel
Toronto, ON
- Full-time
…commercial judgment and relationship skills to act as a trusted advisor to both Finance and Commerce…
Added 42 mins ago
RD
Associate Advisor
RBC Dominion Securities
Toronto, ON
- Full-time
Our Team is Growing - We’re Hiring an Associate Advisor in Toronto.
Added 42 mins ago
MW
Business Development Associate
Manulife Wealth & Asset Management
Montreal, QC
- Full-time
…and a Business Development Manager. Your mission? Help drive sales growth and build strong advisor…
Added 42 mins ago
BC
Philanthropy Manager, Legacy
BC Children's Hospital Foundation
Vancouver, BC
- Full-time
Strengthen and expand advisor relationships: Deepen connections with professional advisors, grow our network, and assist with local and regional engagement efforts to increase visibility…
Added 42 mins ago
H
Global Mining Practice Business Development Leader
HDR
Calgary, AB
- Full-time
Build Strategic Client Relationships: Serve as a trusted advisor to mining companies and key partners, with a clear understanding of their assets, capital programs, operating priorities and…
Added 42 mins ago
A
Commercial/Sales Account Director I
AMECO
Calgary, AB
- Full-time
The Commercial Account Director serves as a trusted advisor to customers and a key partner to internal business functions, developing commercial strategies that increase revenue,…
Added 42 mins ago
DG
COMMIS AUX PIÈCES | PARTS ADVISOR
Dilawri Group of Companies
Saint-Bruno-de-Montarville, QC · St-Bruno-de-Montarville, QC
- Full-time
Perform parts sales at the counter, by telephone or at the repair shop;
Added 42 mins ago
CG
Manager, Sales Governance and Operations
Calian Group
Ottawa, ON
- Full-time
We are looking for a Manager, Sales Governance & Operations to play a critical leadership role supporting the governance, operational effectiveness, and growth of the ITCS business. In this…
Added 1 hour ago
BB
Retail Sales Associate (Full Time)
Best Buy Canada
Lloydminster, SK
- Full-time
You’ll love it here! We are hiring immediately for a retail sales associate, which we call an advisor at Best Buy. As a retail sales associate, you will be the face of Best Buy for everyone…
Added 1 hour ago
BB
Associé(e) principal(e) aux ventes - Mobile / Senior Mobile Sales Associate
Best Buy Canada
Montreal, QC
- Full-time
You’ll love it here! We are hiring immediately for a senior sales associate, which we call a senior advisor at Best Buy. As a senior sales associate, you will be the face of Best Buy for…
Added 1 hour ago
D
Marketing Operations Analyst
D2L
Canada
- Full-time
You will partner closely with Marketing, Sales, BDR, and IT to turn strategy into scalable, measurable processes, and you will help us leverage AI-enabled ways of working.
Added 1 hour ago
RD
Assistant Branch Operations Manager
RBC Dominion Securities
Ottawa, ON
- Full-time
…and administrative support to the Branch Management Team and Advisor teams. In addition to managing client account activities and ensuring compliance standards are met, the Assistant Branch…
Added 1 hour ago
HW
Compliance Associate
Harbourfront Wealth Management
Canada
- Full-time
…investment counsel, asset manager, U.S. Registered Investment Advisor (RIA) and insurance company. At Harbourfront Wealth, our core values start with the belief that great people make great…
Added 1 hour ago
A
Représentant(e) des ventes, nouvelles affaires - Marché intermédiaire/Mid-Market Account Executive - New Business
ADP
Montreal, QC
- Full-time
Added 1 hour ago
FC
Investment Advisor
FirstOntario Credit Union
Hamilton, ON
- Full-time
The Investment Advisor serves as a key point of contact for current and prospective member relationships, with the focus on growing, managing and maintaining their book of business. This…
Added 1 hour ago
AL
Business Development Representative
AGAT Laboratories
Calgary, AB
- Full-time
…will leverage their strong background in customer service, sales, and networking to build and maintain strategic relationships with clients and partners. This role is essential in…
Added 2 hours ago
R
Assistant Branch Operations Manager
RBC
Ottawa, ON
- Full-time
…and administrative support to the Branch Management Team and Advisor teams. In addition to managing client account activities and ensuring compliance standards are met, the Assistant Branch…
Added 2 hours ago
R
Private Banker
RBC
Mississauga, ON
- Full-time
…right partner at the right time, such as a Wealth Management Advisor/Counsellor for long-term investment advice, or a Commercial Account Manager for a business…

Compliance Associate

Canada

Salary Range: $55,000 - $65,000 per annum (actual salary offered will be commensurate with education, experience, and internal parity). · Full-time

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Job details

Pay: Salary Range: $55,000 - $65,000 per annum (actual salary offered will be commensurate with education, experience, and internal parity).
Job type: Full-time
Experience: 1–3 years of experience in compliance, risk, audit, or a related role within financial services;
Posting language: English
Posted: Oct 28, 2026

Original job description

Who we are:

Harbourfront Wealth is a dynamic industry leader specializing in financial services and wealth management. We are a fast-growing wealth management firm with over $22 billion in assets under administration, comprised of five integrated entities: CIRO dealer, investment counsel, asset manager, U.S. Registered Investment Advisor (RIA) and insurance company. At Harbourfront Wealth, our core values start with the belief that great people make great companies.

Career opportunity:

We currently have a career opportunity for a Compliance Associate reporting to the Team Lead, Tier 2 Compliance Supervision. This role will be based on a remote or hybrid schedule out of either our head office in Vancouver, BC, or at our satellite head offices in Burlington, ON, Winnipeg, MB or other locations where Harbourfront Wealth has an existing branch.

The Compliance Associate role contributes to the overall supervision activities and support of the compliance department and promotes a culture of compliance throughout the firm. We are looking for a highly motivated candidate who can build solid relationships, has a passion for providing high quality customer service and is eager to expand their career in compliance and supervision.

Key Responsibilities:

Conduct ongoing reviews of Tier 2 reports, client accounts, and transactions to ensure compliance with regulations and firm policies;
Identify, document, and escalate potential compliance issues in accordance with internal procedures;
Assist with regulatory filings, examinations, audits, and inquiries;
Support the maintenance, review, and updating of compliance policies, procedures, and disclosures;
Conduct and support fund compliance reviews;
Respond to compliance-related inquiries from advisors and internal business partners;
Support and assist Compliance supervisory tools, such as PortfolioAid;
Assist with compliance training initiatives, certifications, and employee attestations;
Assist with the review of referral agreements, and third-party relationships for regulatory compliance;
Collaborate with Legal, Operations, and other internal teams on compliance matters;
Contribute to continuous improvement of compliance processes, controls, and documentation, including maintaining and testing of compliance systems and records; and
Participate in various additional compliance-related projects and initiatives as assigned.

The ideal candidate for this position has:

1–3 years of experience in compliance, risk, audit, or a related role within financial services;
Basic understanding of wealth management products and services;
Proficiency in Microsoft Office Suite, with strong emphasis on Microsoft Excel for data; analysis, including formulas, pivot tables, and basic reporting;
Strong attention to detail, analytical skills, and ability to manage multiple priorities;
Strong communication skills, both written and verbal;
Preferred exposure to compliance monitoring tools or surveillance systems, including PortfolioAid, Croesus, Sales Force, Global Relay and NBIN systems;
Preferred experience with fund compliance.

Salary Range: $55,000 - $65,000 per annum (actual salary offered will be commensurate with education, experience, and internal parity).

Diversity and Inclusion

Diversity is an important value to us. We are committed to providing equal opportunities in employment and to providing a workplace which is free from discrimination and harassment. This means that all job applicants and employees will receive equal treatment regardless of race, colour, ethnic or national origins, sex, marital status, disability, age, sexual orientation, religion, or belief.

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More about this job

Responsibilities

Review Tier 2 reports, client accounts, transactions, and funds for compliance, documenting and escalating potential issues while supporting regulatory filings, audits, and inquiries. Maintain compliance policies, tools, training, and records; respond to internal inquiries and collaborate on compliance projects and process improvements.

Requirements

The role calls for 1–3 years of experience in compliance, risk, audit, or a related financial services position, along with a basic understanding of wealth management products and services. Candidates should be proficient in Microsoft Office, especially Excel, and have strong analytical, organizational, communication, and attention-to-detail skills; experience with compliance tools and fund compliance is preferred.

Skills

Compliance Monitoring
Regulatory Compliance
Risk Assessment
Audit Support
Regulatory Filings
Fund Compliance
Financial Services
Wealth Management
Microsoft Excel
Data Analysis
Attention To Detail
Analytical Skills
Written Communication
Verbal Communication
Relationship Building
Process Improvement

Visa sponsorship

Not detected in the job text

Keywords

Tier 2 Compliance Supervision
Regulatory Compliance
Compliance Monitoring
Wealth Management
Financial Services
Client Accounts
Transaction Reviews
Regulatory Filings
Regulatory Examinations
Audits
Fund Compliance
Compliance Policies
Compliance Procedures
Compliance Disclosures
PortfolioAid
Croesus
Salesforce
Global Relay
NBIN Systems
Microsoft Office
Microsoft Excel
Pivot Tables
Data Analysis
Referral Agreements
Third-Party Relationships
Employee Attestations
Compliance Training
Compliance Systems
Internal Controls

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