Jobs in Canada

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Added 4 mins ago
P
Vice President, Wealth Advisory & Business Development
PortfolioHiWay
Toronto, ON
- Full-time
Licensing & Registration: Must hold relevant licenses and registration (e.g., IIROC licensing, PM Registration) as required by CIRO
Added 4 mins ago
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Senior Director and Head of Royal Distinction
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Toronto, ON
- Full-time
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- $140,000 to $180,000 CAD / year
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PortfolioHiWay

Compliance Associate

Toronto, ON, Canada

Full-time

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Applications open in a new tab.

Job details

Job type: Full-time
Apply by: Nov 29, 2026
Experience: Minimum 3 years’ experience in a compliance or operations role at aCIRO investment Dealer
Posting language: English
Posted: Oct 30, 2026

Original job description

PortfolioHiWay is a Canadian wealth management technology firm created to seamlessly connect investors, advisors and third-party managers. Our goal is to simplify investing by offering an improved client experience at every level. PortfolioHiWay helps clients streamline processes, enhance scalability and reduce operational risks while expanding their investment universe and lowering overall costs. We do this by combining innovative technology and enhanced service offerings to automate many day-to-day aspects of running a business so that advisors can focus on their clients.

We are looking for a proactive, detail-oriented, and results-focused Compliance Associate to join our team. This position would report to the Deputy CCO and provide support to the compliance function.

Key Responsibilities

The position will have various responsibilities including but not limited to:

Regulatory filings
Develop and maintain knowledge of regulatory/compliance requirements for the firm/registrants
Maintenance and implementation of compliance policies and procedures manual
Develop and provide training programs to staff on compliance matters
Ensuring PortfolioHiWay complies with Anti-Money Laundering and Anti-Terrorist Financing obligations
Assisting with responses to audits, inquiries and reviews from regulatory authorities
Compliance projects
Fostering the continuation of a strong compliance culture throughout the firm

Education And Professional Experience

University Degree in a relevant field (business, law etc.)
Canadian Securities Course (CSC)
Minimum 3 years’ experience in a compliance or operations role at aCIRO investment Dealer
Working knowledge of CIRO Investment Dealer and Partially Consolidated Rules, Privacy and AML/ATF
Superior problem-solving, critical thinking, and analytical skills
Self-motivation with strong prioritization and time management skills
Ability to effectively multi-task, and be extremely well organized
Enthusiasm and willingness to learn
Team player mindset and is collaborative, committed and dependable
Excellent communication skills, both written and verbal
Strong interpersonal skills with the ability to build and maintain positive relationships with all stakeholders

PortfolioHiWay is proud to be an Equal Opportunity and Affirmative Action Employer. We evaluate qualified applicants without regard to race, national origin, religion, gender, sexual orientation, gender identity, disability, protected veteran status, and other statuses protected by law.

We sincerely thank all applicants for their interest, however only those in consideration for the opportunity will be contacted.

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More about this job

Responsibilities

Support the compliance function by maintaining knowledge of regulatory requirements, managing regulatory filings, and maintaining and implementing compliance policies and procedures. Help ensure AML/ATF compliance, deliver staff training, respond to audits and regulatory reviews, and contribute to compliance projects and a strong compliance culture.

Requirements

Requires a university degree in a relevant field, the Canadian Securities Course (CSC), and at least three years of compliance or operations experience at a CIRO investment dealer. Candidates should understand CIRO Investment Dealer and Partially Consolidated Rules, privacy, and AML/ATF requirements, and demonstrate strong analytical, organizational, communication, and collaboration skills.

Skills

Regulatory Filings
Regulatory Compliance
Compliance Policies And Procedures
Compliance Training
Anti-Money Laundering
Anti-Terrorist Financing
Audit Support
Regulatory Inquiries
Compliance Project Management
CIRO Investment Dealer Rules
Privacy Compliance
Problem-Solving
Critical Thinking
Analytical Skills
Prioritization And Time Management
Written And Verbal Communication

Visa sponsorship

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Keywords

Regulatory Filings
Regulatory Compliance
Compliance Policies And Procedures
Compliance Training
Anti-Money Laundering
Anti-Terrorist Financing
CIRO
Investment Dealer Rules
Partially Consolidated Rules
Privacy Compliance
Canadian Securities Course
CSC
Regulatory Authorities
Audits
Compliance Projects
Wealth Management
Financial Services
Risk Management
Problem-Solving
Critical Thinking
Analytical Skills
Time Management
Stakeholder Relations

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Work requirements

Jobs in Canada