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Added 12 mins ago
SQ
District Manager
Sunlife Québec
Quebec, QC
- Full-time
Coaching for growth, Client centric, relationship focused, sales driven and energetic. If this feels well aligned to who you are and areas you want to focus on, we have the right…
Added 12 mins ago
SQ
District Manager
Sunlife Québec
Levis, QC
- Full-time
Coaching for growth, Client centric, relationship focused, sales driven and energetic. If this feels well aligned to who you are and areas you want to focus on, we have the right…
Added 12 mins ago
H
Global Mining Practice Business Development Leader
HDR
Kingston, ON
- Full-time
…permitting and feasibility through detailed design, construction, operations, water and mine waste management, and closure and reclamation. You’ll connect clients with integrated technical,…
Added 12 mins ago
R&
Senior Delivery Manager
Robots & Pencils
Canada
- Full-time
…design and ship AI co-workers that integrate into enterprise operations and deliver measurable results for our clients. We're all in on AWS, combining deep UX capability with senior…
Added 12 mins ago
LV
ASSISTANT MANAGER-EN
La Vie En Rose
Stratford, QC
- Full-time
Analyze sales results with your manager and come up with innovative solutions to improve them;
Added 12 mins ago
R
Senior Manager, Customer Success Operations
Ryan
Toronto, ON
- Full-time
The Senior Manager, Customer Success Operations is responsible for building, managing, and continuously improving the systems, data, reporting, processes, and operational discipline that…
Added 12 mins ago
I
Customer Experience Leader (Contract 18+ Months)
Indigo
London, ON
- $18.6 to $23.25 CAD / hour
- Contract
Leads execution of customer experience priorities within the store, leveraging customer, sales, and omni-channel insights to optimize team deployment, deliver exceptional service, and drive…
Added 12 mins ago
I
Product Operations Manager
Indigo
Regina, SK
- $50,000 CAD / year
- Full-time
The Product Operations Manager translates Indigo’s visual merchandising priorities into locally relevant execution, strengthening community connection and brand affinity while delivering a…
Added 12 mins ago
C
Ops Mgmt Manager
CBRE
Toronto, ON
- Full-time
…clients through four business segments: Advisory (leasing, sales, debt origination, mortgage serving, valuations); Building Operations & Experience (facilities management, property…
Added 12 mins ago
MF
Business Development Manager
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Toronto, ON
- Full-time
The Business Development Manager is the primary liaison between assigned store locations and corporate office. He/she provides leadership and assistance to assigned restaurants to achieve…
Added 12 mins ago
P
Country Manager, Canada
Polaroid
Canada
- Full-time
As the Country Manager, Canada - you will play a pivotal role in managing and expanding our footprint with National Retailers and Independents alike. We are looking for an experienced…
Added 12 mins ago
SD
Assistant Front Store Manager
Shoppers Drug Mart
Richmond, BC
- Full-time
To assist the Front Store Manager (FSM) in managing the human, physical and financial resources of the store and in ensuring that store objectives are achieved by focusing on improving…
Added 12 mins ago
WC
(CAN) Préposé aux livraisons directes à la succursale
Walmart Canada
Magog, QC
- Full-time
Works closely with the Operations Manager and Office Support Associate to identify and resolve receiving issues or discrepancies efficiently.
Added 12 mins ago
WC
(CAN) Front End Assistant Manager
Walmart Canada
Pointe-Claire, QC
- Full-time
Position Summary...To support the Store Manager and manage store operations according to Company guidelines and lead Associates to ensure friendly, helpful service and drive profitable…
Added 12 mins ago
OY
Assistant General Manager
Old Yale Brewing
Abbotsford, BC
- $50,000 to $60,000 CAD / year
- Full-time
The Assistant General Manager (AGM) delivers an outstanding guest experience by leading service, supporting daily operations, and energizing the team. Working closely with the General…
Added 12 mins ago
CE
Sales Development Manager - Eastern Canada / Directeur ou directrice des Nouveaux marchés - Est du Canada
Carrier Enterprise Canada
Eastern Canada
- $160,000 to $165,000 CAD / year
- Full-time
The Sales Development Manager is responsible for leading strategic sales initiatives and providing sales leadership to our Sales Development Representative (SDR) team. This position will…
Added 12 mins ago
E
Technicien.ne comptable & administratif·ve │ Accounting & Administrative Technician
Evvo
Remote, Canada
- Full-time
- Remote
…comptable au quotidien (payables, recevables, paie) et des opérations de notre bureau de Montréal. Si tu es rigoureux·se, organisé·e et aussi à l'aise avec les chiffres qu'avec les gens et…
Added 12 mins ago
Co-op/Intern Student - Automation Specialist (January 2027)
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Burnaby, BC
…Canada and beyond. We are dedicated to providing exceptional sales, support and service experiences for our diverse customer base in industries such as mining, power, oil & gas, municipal,…
Added 12 mins ago
TS
Store Associate
The Salvation Army Canada and Bermuda Territory
Leduc, AB
- Part-time
The role provides service to customers, sorting incoming product and assists in the ongoing retail operations of The Salvation Army Thrift Store.
Added 27 mins ago
H
Global Mining Practice Business Development Leader
HDR
Saskatoon, SK
- Full-time
…permitting and feasibility through detailed design, construction, operations, water and mine waste management, and closure and reclamation. You’ll connect clients with integrated technical,…
Added 27 mins ago
LG
Accounting Manager
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- Full-time
As a key member of our Finance Team, the Accounting Manager is responsible for ensuring the financial health, accuracy, and integrity of a diverse portfolio of real estate, construction,…
Added 43 mins ago
CB
National Account Manager
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- Full-time
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Added 43 mins ago
PC
Client Service Associate
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- Full-time
…team of investment professionals. Our first partner portfolio manager is Canso Investment Counsel, a leading corporate credit specialist. We’re also in the process of onboarding our second…
Added 43 mins ago
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Global Mining Practice Business Development Leader
HDR
Calgary, AB
- Full-time
…permitting and feasibility through detailed design, construction, operations, water and mine waste management, and closure and reclamation. You’ll connect clients with integrated technical,…
Added 43 mins ago
CG
Manager, Sales Governance and Operations
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- 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…

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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