Compliance Manager

About the Company

Our client is a professional service provider. They are looking for a Compliance Accountant who will be responsible for conduct risk-based reviews of registered firms and other regulated market participants to assess compliance with the organization. The role identifies regulatory deficiencies and internal control weaknesses, prepares formal reports and recommends appropriate corrective actions. The successful candidate will engage with firms and internal stakeholders to evaluate practical responses to non-compliance and determine when further regulatory action may be warranted. The position also requires applying regulatory principles to emerging market developments and balancing investor protection with sound commercial judgment.

Why Work Here

• Opportunity to contribute directly to investor protection and confidence in Ontario capital markets.
• Defined benefit pension, employer-paid health and dental premiums, and generous paid time off.
• Exposure to varied regulated firms and complex securities compliance issues.

About the Opportunity

General Overview:

• Champion investor protection and confidence in the capital markets: Conduct reviews of registered firms and regulated entities to assess compliance within the organization.
• Formulate corrective actions: preparing formal reports detailing non-compliance with securities laws and internal control weaknesses and work with registered firms and regulated entities to determine what corrective action is required and assess appropriateness of corrective actions
• Engage with stakeholders: Find practical and balanced solutions to address non-compliance with securities laws and make recommendations for further regulatory action in appropriate circumstances
• Adapt regulatory principles to industry trends and emerging issues

Specific Responsibilities:

• Field Reviews of Market Participants
• Independently conduct operational field reviews of market participants and resolve routine issues.
• Identify and escalate complex, novel, unusual, or policy-related issues requiring senior guidance.

Prospectus Reviews

• Independently review prospectus filings, provide comments, and resolve accounting and financial reporting issues that are routine in nature.
• Identify and escalate novel, complex, policy-related, or broader regulatory concerns.
• Assess whether issuing a prospectus receipt is in the public interest.

Continuous Disclosure Reviews

• Independently conduct continuous disclosure reviews, provide comments, and resolve routine issues.
• Identify matters that may require restatements or involve policy implications and seek guidance from senior staff on their resolution.

Applications

• Partner with legal counsel to assess applications, determine whether exemptive relief is required, and assist in drafting orders and recommendation memoranda.
• Research and analyze precedents, applying or distinguishing them as appropriate.
• Coordinate and negotiate comments with other CSA staff.
• Handle routine and less complex applications, while referring applications with significant policy implications to senior staff.

Case Assessment and Investigations

• Assess and investigate potential breaches of securities law through research, evidence gathering, and analysis.
• Recommend appropriate next steps, including referral to Investigations or Litigation.
• Provide ongoing investigative, evidence-brief, and litigation support as part of multidisciplinary teams.

Stakeholder Inquiries

• Respond to inquiries from market participants, the public, auditors, and other stakeholders regarding accounting, auditing, and regulatory matters.
• Seek senior guidance on complex or policy-related issues.

Policy and Project Work

• Contribute to policy initiatives and special projects by assuming responsibility for assigned workstreams or subject matter areas.
• Participate as a team member rather than a project lead.

About You

• Membership in good standing with CPA Ontario
• Minimum 1 year of audit and assurance experience post CPA
• Experience at an audit and assurance firm
• Experience in investment management or financial services an asset
• Demonstrated ability to show creativity, achieve results and effectively communicate information clearly and concisely

Salary Range

$100,000 - $130,000/year

When referencing this job, quote #307006

----- DISCLAIMERS -----

This position for employment is for a current vacancy with Highspring’s client. You must currently reside within the Greater Toronto Area and be permitted to work in Canada to be considered for this opportunity. A recruiter will be in touch with you if your profile meets our client’s requirements for this role.

By submitting to this position, you agree that you will be giving Vaco by Highspring the exclusive right to present you as a candidate for the foregoing position. Additionally, you agree to be included in our talent pool for future hiring for similarly qualified positions. You further agree that you have represented information about yourself accurately and have not affirmatively misrepresented your qualifications. Lastly, you also agree to maintain as confidential, to the fullest extent permitted by law, any information you learn from Vaco by Highspring about the position and you will limit disclosure of information about the position only to the extent necessary to perform any obligations in furtherance of your application. In exchange, Vaco by Highspring agrees to exercise reasonable efforts to represent you through all solicitation, job screening and resume dispersal.

Vaco by Highspring values a diverse workplace and strongly encourages women, people of colour, LGBTQ+ individuals, people with disabilities, members of ethnic minorities, foreign-born residents, and veterans to apply. The company is also committed to ensuring that persons who need them are provided with reasonable accommodations; if one is needed to participate in the job application or interview process, please contact HR@vaco.com .

Vaco by Highspring respects your privacy and is committed to providing transparent notice of our policies in English here and in French here. Additionally, the company uses AI to perform preliminary screenings, focused on ensuring minimum job requirements noted in the position are satisfied. Further assessment of candidates beyond this initial phase will be conducted by recruiters and hiring managers. Vaco/Highspring does not know and cannot opine on if its client’s use of AI products in hiring.

Pay Transparency Notice

Determining compensation for this role (and others) at Vaco by Highspring depends upon a wide array of factors including but not limited to:

• the individual’s skill sets, experience and training;
• licensure and certification requirements;
• office location and other geographic considerations;
• other business and organizational needs.

Having said that Vaco by Highspring believes that the salary range referenced reasonably estimates the base compensation for an individual hired into this position. The individual may also be eligible for discretionary bonuses and/or participation in medical, dental, and vision benefits as well as the company’s retirement plan (or similar retirement benefits).