Compliance Officer ( Bachelor of Laws (J.D or LL.B.) )
4Finance - Oakville, ON

This job posting is no longer available on Indeed. Find similar jobs: Compliance Officer jobs

4Finance - Oakville, ON

AS 4Finance Ltd. is the Canadian/US Headquarters for the 4Finance Group. 4Finance is an online lender and financial services company that has successfully proven itself as a leader in Northern Europe's financial markets of Latvia, Lithuania, Finland, Sweden, and Denmark. As part of a further strategic expansion, the company has established its operations in North America (Canada and USA) as well as in other European markets. Our goal is to provide our clients with a fast, easy, and convenient experience, while providing exceptional customer service and satisfaction. For more information about our company please visit www.4finance.com.

We are seeking a qualified Compliance Officer to assist in the successful expansion of 4Finance Group in the Canadian and US markets.

We invite you to join the Management team in the position of Compliance Officer.

Key Accountabilities:

  • Work with business partners to prepare and complete various compliance reports including compliance certificates and regulatory reports required under securities and other legislation
  • Manage all internal auditing activity and evaluate internal control
  • Assist management with compliance with Sarbanes-Oxley (SOX) regulations
  • Identify obstacles to reaching organizational goals and recommend solutions to executive management
  • Own and maintain all aspects of corporate and individual registrations for Canadian entity and international affiliates, as necessary
  • Maintain policy manual and desktop procedures, including ownership of review cycle for current policies and procedures and establishment of new policies and procedures
  • Manage compliance with privacy standards and the Privacy Policy
  • Participate in creation and delivery of training program
  • Review communication materials including Collections, Customer Service, and Marketing due diligence questionnaires and vendor RFPs
  • Respond to inquiries from clients and other internal clients in the international offices related to Canadian compliance matters
  • Maintain appropriate books and records, including all required compliance logs (i.e., personal securities trading, gifts and entertainment, outside activity, client complaints)
  • Understand various regulatory requirements and assist in communicating requirements to the businesses and other stakeholders
  • Regular monitoring of relevant legislation and regulatory prudential standards, rules, and guidelines (including regulators’ respective websites) to ensure compliance on a continuing basis
  • Determine the requirement for legal advice on specific situations upon thorough analysis
  • Ensure professional external relationship building with lawyers, regulators, and auditors
  • Assist with new product development, oversight of third party sub-advisors, and special projects
  • Work with other departments to ensure compliance is included and enforced on across all products, operations, and activities
  • Support other functions as may be required

Skills and Behaviour:

  • Demonstrated experience with, and understanding of, the applicable regulatory regime
  • Forward thinking and possesses the ability to anticipate needs and act upon requests independently
  • Demonstrated ability and flexibility for working effectively on multiple tasks simultaneously in a fast-paced environment and must be organized, accurate, and detail-oriented
  • Excellent communications skills, both verbal and written
  • Develop a firm grasp of products and business goals
  • Ability to work independently and in a cross-functional capacity enlisting the support and expertise of others throughout the organization
  • Strong expertise in working with OSC guidelines and requirements
  • Ability to develop effective compliance systems, implement departmental strategies, and identify and analyze compliance issues
  • Capable of growing and succeeding in a fast paced, entrepreneurial environment
  • Good understanding of vendor (i.e. FIB, LST, EPIC, TRIBE) audit requirements and general knowledge of all securities industry regulations and their application
  • Solid understanding of compliance with ACH
  • Highly organized and able to manage several projects simultaneously
  • Ability to work well under pressure and meet deadlines

Education and Experience:

  • Bachelor of Laws (JD or LL.B.), call to the Bar (Canada or US)
  • Minimum 3 – 5 years of experience in legal and/or compliance role in the financial services industry

We Offer:

  • Dynamic and challenging work with an ambitious and highly professional team
  • Work in a rapidly growing international company operating in an exciting and competitive industry
  • Competitive remuneration package
  • Supportive environment facilitating growth and achievement

Interested candidates please apply by submitting your Résumé


Indeed - 5 months ago - save job - block
Recommended Jobs
Private Client Relationship Manager
HSBC - Markham, ON
HSBC - 2 days ago

Assistant Trade Mid Office Manager
HSBC - Toronto, ON
HSBC - 10 days ago

Senior Trade Mid Office Manager I
HSBC - Toronto, ON
HSBC - 10 days ago
About this company
Vivus Finance Ltd. is the Canadian/US Headquarters for 4Finance Group. 4Finance is an online lender and financial services company that has...