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Added 1 hour ago
NB
Technology Associate
National Bank of Canada
Winnipeg, MB
- Full-time
…Reporting to the regional manager, you will team up with a wealth advisor to offer an exceptional client experience. Collaboration and partnership will be key to your…
Added 1 hour ago
NB
Senior Manager Onboarding
National Bank of Canada
Toronto, ON
- Full-time
You serve as a trusted advisor and key relationship lead to clients, portfolio managers, internal partners and operational teams, leading complex integration mandates and coordinating…
Added 9 hours ago
AC
Accountant, Assurance and Accounting (September 2027)
ACCA Careers
Cornwall, ON
- Full-time
…evolving business and financial reporting landscape. As a trusted advisor, you’ll provide comprehensive, tailored financial information that enables clients to make informed decisions with…
Added 14 hours ago
SW
Portfolio Manager | Associate Portfolio Manager | Wealth Manager - SJF - Markham
Scotia Wealth Management
Markham, ON
- Full-time
…varies by licensing level and registration with provincial securities regulators, but ownership of client relationships and business development expectations apply across all…
Added 16 hours ago
C
Financial Advisor
CIBC
Brossard, QC · Drummondville, QC · Saint-Hyacinthe, QC · Boucherville, QC
- Full-time
…services support, and exceptional client service. As a Financial Advisor, you’ll deliver on CIBC’s Imperial Service approach, acting as a single point of contact for your clients and…
Added 16 hours ago
C
Financial Advisor - CIRO-MFD/AMF
CIBC
Saint-Jacques, QC · Richelieu, QC · Saint-Jean-sur-Richelieu, QC
- Full-time
…services support, and exceptional client service. As a Financial Advisor, you’ll deliver on CIBC’s Imperial Service approach, acting as a single point of contact for your clients and…
Added 16 hours ago
C
Senior Financial Advisor - Abitibi-Témiscamingue
CIBC
Val-d'Or, QC
- Full-time
…providing exceptional client service. As a Senior Financial Advisor in the Imperial Service Team, you’ll expertly deliver on CIBC’s Imperial Service approach, taking responsibility for a…
Added 16 hours ago
C
Senior Financial Advisor - CIRO-MFD/AMF - Beloeil
CIBC
Beloeil, QC
- Full-time
…providing exceptional client service. As a Senior Financial Advisor in the Imperial Service Team, you’ll expertly deliver on CIBC’s Imperial Service approach, taking responsibility for a…
Added 19 hours ago
RD
Associate, Wealth Management - 18 month contract
RBC Dominion Securities
Mississauga, ON
- Full-time
The RBC Dominion Securities Branch located in Mississauga, ON is looking for an Associate to join the team in maintaining, developing and growing an Investment Advisor's business by…
Added 1 day ago
M
Bilingual Financial Education Specialist
Manulife
Montreal, QC
- Full-time
Ability to triage existing lead to effectively handle immediate needs or position a warm introduction to Wealth & Ret advisor, as needed
Added 1 day ago
R
Associate Wealth Advisor / Financial Planner
RBC
Vancouver, BC
- Full-time
The RBC Dominion Securities Vancouver Main branch is seeking a talented, self-directed individual with a growth- and goals-oriented mindset to join us in our pursuit of helping our clients…
Added 1 day ago
R
Banking Advisor
RBC
Temiskaming Shores, ON
- Full-time
Mutual Funds accreditation (i.e., Investment Funds in Canada or the Canadian Securities Course)
Added 1 day ago
R
Associate
RBC
Vancouver, BC
- Full-time
The RBC Dominion Securities branch located in Vancouver is looking for an Associate to provide concierge level administrative support to a successful Advisory Team.
Added 1 day ago
R
Associate
RBC
Vancouver, BC
- Full-time
RBC Dominion Securities is a relationship-focused investment and wealth management firm that consistently ranks #1 in Canada. We are proud of our collaborative, supportive culture that…
Added 1 day ago
R
Associate Advisor
RBC
Vancouver, BC
- Full-time
RBC Dominion Securities is Canada’s leading full-service investment and wealth management firm and is backed by Canada’s leading financial institution. We take pride in hiring and nurturing…
Added 1 day ago
R
Client Experience Associate
RBC
Surrey, BC
- Full-time
The RBC Dominion Securities branch located in South Surrey is seeking a Client Service Associate to deliver concierge level service for a high performing Advisory Team.
Added 1 day ago
R
Financial Advisor - Greater Toronto Region
RBC
Aurora, ON · Brampton, ON · Markham, ON · Mississauga, ON · Newmarket, ON · Richmond Hill, ON · Toronto, ON · Vaughan, ON
- Full-time
Completed Designated Financial Services Advisor (DFSA) designation, offered through the Canadian Securities Institute (i.e. Personal Financial Service Advice and Financial Planning I)
Added 1 day ago
R
Client Advisor
RBC
Richibucto, NB
- Part-time
…a great career with us as a future Account Manager/Banking…
Added 1 day ago
R
Administrative Assistant
RBC
Timmins, ON
- Full-time
RBC Dominion Securities is a relationship-focused investment and wealth management firm that consistently ranks #1 in Canada. We are proud of our collaborative, supportive culture that…
Added 1 day ago
AC
Designated Professional, Assurance and Accounting - Public Companies
ACCA Careers
Toronto, ON
- Full-time
…evolving business and financial reporting landscape. As a trusted advisor, you’ll provide comprehensive, tailored financial information that enables clients to make informed decisions with…
Added 1 day ago
M
Senior Field Supervision Manager
Manulife
Burlington, ON · Toronto, ON · Waterloo, ON · Montreal, QC
- Full-time
Senior Managers support both high-value and high-risk advisor offices through onsite visits and partners closely with the Regional Field Supervision Officer and Line 2 Compliance to ensure…
Added 1 day ago
C
Associate Financial Advisor - Rouyn-Noranda
CIBC
Rouyn-Noranda, QC · Principale & Perreault
- Full-time
…difference in our clients' lives. As an Associate Financial Advisor, you’ll form a deep understanding of your personal and small business clients’ needs as you recommend simple,…
Added 1 day ago
C
Financial Advisor - CIRO-MFD
CIBC
Flin Flon, MB
- Full-time
…services support, and exceptional client service. As a Financial Advisor, you’ll deliver on CIBC’s Imperial Service approach, acting as a single point of contact for your clients and…
Added 1 day ago
M
Senior Accountant, Assurance and Accounting - Private Enterprise Services
MNP
Vancouver, BC
- Full-time
…evolving business and financial reporting landscape. As a trusted advisor, you’ll provide comprehensive, tailored financial information that enables clients to make informed decisions with…
Added 1 day ago
MF
Business Development Manager
Mackenzie Financial Corporation
Toronto, ON · Greater Toronto Area, ON
- Other
As a Business Development Manager, you will be a key driver of sales success and advisor engagement across Canada. Your ambition, communication skills, and proactive mindset will help you…

Closed listing

Roots Funding

Compliance Officer

Toronto, ON, Canada
Greater Toronto Area, Canada, Canada

Full-time

This opening has closed.

The original listing is kept below for reference.

Find open jobs More jobs with this employer

About employer

Job details

Job type: Full-time
Closing date: Oct 29, 2026
Experience: . 0 to 2 years of experience in compliance, operations, or onboarding at a dealer, advisor, bank, or fintech (internships and co-ops count)
Posting language: English
Posted: Sep 29, 2026

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Search current openings

Original job description

Archived listing. The details below describe a past opening.

About Roots Funding

Roots Funding Inc. is an Exempt Market Dealer registered with the Ontario Securities Commission and the operator of PMX (Private Market Exchange), a global private capital marketplace connecting accredited and eligible investors with vetted private market opportunities. With entities and operations spanning Canada, the US, the UK, the UAE, the EU, and Hong Kong, we are building institutional-grade infrastructure for private capital, with compliance at the core of everything we do.

The Role

We are looking for a detail-oriented a Junior Compliance Officer to join our compliance team and support the Chief Compliance Officer in maintaining a robust, scalable compliance program. This is a hands-on role with direct exposure to securities regulation,

AML/KYC/KYB and cross-border private market activity.

You don't need to know everything on day one: we will provide structured training and ongoing support so you can build your expertise with confidence. It's an ideal opportunity for an early-career professional who wants to grow quickly in a fast-moving, multi-jurisdictional environment.

What You'll Do

. Conduct KYC, KYP, and suitability reviews for investors and issuers onboarded to the PMX platform

. Support AML/ATF program operations, including client screening, sanctions and PEP checks, transaction monitoring, and FINTRAC reporting

. Review offering documents, subscription agreements, and investor files for completeness and regulatory accuracy

. Prepare and track regulatory filings, including reports of exempt distribution (Form 45-106F1) and related filings across Canadian jurisdictions

. Review marketing materials, website content, and investor communications for compliance with NI 31-103 and applicable securities laws

. Assist with conflicts of interest management, relationship disclosure, and Client Focused Reforms obligations

. Maintain compliance records, logs, and registers (complaints, gifts and entertainment, personal trading, outside activities)

. Support internal compliance testing, policy updates, and preparation for regulatory examinations and audits

. Help coordinate compliance workstreams across our international entities as the platform grows

What You Bring

. Completion of the Canadian Securities Course (CSC) (required)

. Chief Compliance Officer (CCO) to be completed in 3 months

. 0 to 2 years of experience in compliance, operations, or onboarding at a dealer, advisor, bank, or fintech (internships and co-ops count)

. Working knowledge of NI 31-103, NI 45-106 prospectus exemptions, and Canadian AML/ATF requirements

. Strong attention to detail and a methodical approach to documentation

. Clear written communication and comfort engaging with investors, issuers, and internal teams

. Proficiency with Microsoft 365; comfort learning compliance and CRM tools

. A degree in finance, business, law, economics, or a related field

Nice to Have

. Exempt Market Products (EMP) exam, Conduct and Practices Handbook (CPH), or progress toward the CCO Qualifying Exam

. AML credentials such as CAMS or ACAMS coursework

. Exposure to private markets, exempt market distributions, or crowdfunding platforms

. Familiarity with US (SEC/FINRA), UK (FCA), ADGM, or Hong Kong regulatory frameworks

Why Join Us

. Structured onboarding and hands-on training in exempt market compliance, AML/ATF, and regulatory filings

. Direct mentorship from a CCO who built the firm's regulatory framework from the ground up

. Support toward further designations such as the CPH, EMP, or CCO Qualifying Exam

. Real exposure to multi-jurisdictional licensing and cross-border private capital

. Hybrid work arrangement based out of our downtown Toronto office in the financial district

. [Compensation range / benefits / vacation]

How to Apply

Apply through LinkedIn or send your resume and a brief note on why compliance interests you to [email]. We thank all applicants; only those selected for an interview will be contacted.

Roots Funding is an equal opportunity employer and welcomes applications from all qualified candidates. Accommodations are available on request throughout the hiring process.

Junior Compliance Officer | Careers | Roots Funding

Open items before posting

. Add a compensation range (confirm Ontario pay transparency requirements for public postings with counsel)

. Confirm benefits and vacation details

. Add the application contact email

. Decide whether to soften "Working knowledge of NI 31-103..." to "Familiarity with..." given the training commitment

. Confirm hybrid expectations (in-office days per week)

About employer

More about this job

Responsibilities

Conduct investor and issuer due diligence, AML/ATF screening and monitoring, regulatory filings, and reviews of offering documents and communications. Maintain compliance records and support policy updates, internal testing, audits, regulatory examinations, and coordination across international entities.

Requirements

Candidates must have completed the Canadian Securities Course and are expected to complete the Chief Compliance Officer qualification within three months; 0–2 years of relevant experience is sought. The role also calls for working knowledge of Canadian securities and AML/ATF requirements, strong attention to detail and communication skills, Microsoft 365 proficiency, and a degree in a related field.

Skills

KYC, KYP, And Suitability Reviews
AML/ATF Program Operations
Sanctions And PEP Screening
Transaction Monitoring
FINTRAC Reporting
Securities Regulatory Filings
NI 31-103 Compliance
Compliance Documentation
Conflicts Of Interest Management
Client Focused Reforms
Compliance Testing
Regulatory Examination Preparation
Microsoft 365
Investor And Issuer Onboarding

Visa sponsorship

Not detected in the job text

Keywords

Canadian Securities Course
Chief Compliance Officer
CCO Qualifying Exam
Exempt Market Dealer
Private Market Exchange
KYC
KYP
AML/ATF
FINTRAC
Sanctions Screening
PEP Checks
Transaction Monitoring
NI 31-103
NI 45-106
Form 45-106F1
Client Focused Reforms
Exempt Market Products
Conduct And Practices Handbook
CAMS
ACAMS
Microsoft 365
CRM Tools
Securities Regulation
Regulatory Filings
Compliance Testing
Cross-Border Compliance
Private Markets
SEC
FINRA
FCA

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