Senior Compliance Officer

Horizon SF ·horizonrecruit.com

Location Toronto, Ontario
Salary USD 80,000 - 110,000 / year
Type Full time
Level Senior
Source Shazamme
Accounting and Finance
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Horizon Recruitment is recruiting for a Senior Compliance Officer to support the ongoing growth and regulatory strength of a leading wealth management organization. This role helps ensure the firm maintains strong oversight, meets regulatory requirements, and fosters a culture of compliance across its advisory network. Working closely with the Director of Compliance Supervision, the successful candidate will help guide supervision activities, support advisors and staff, and contribute to the firm’s broader compliance framework.


Responsibilities

  • Supervise newly registered staff and provide guidance on regulatory requirements and firm policies
  • Conduct Tier 1 supervision for both managed and non-managed accounts
  • Review and approve new account openings and account updates
  • Perform daily and monthly trade supervision to ensure regulatory compliance
  • Conduct quarterly reviews of managed accounts
  • Review and approve outside business activities for registrants
  • Conduct close supervision of new registrants during onboarding periods
  • Participate in internal branch audits and support external regulatory audits
  • Provide guidance to Investment Advisors and Portfolio Managers on compliance matters
  • Deliver ongoing compliance training and education to branch personnel
  • Review and approve marketing materials to ensure regulatory compliance
  • Contribute to special compliance projects and program development initiatives

Requirements

  • 5+ years of experience in a compliance role within the financial services industry
  • Minimum 3 years of experience as a Tier 1 Supervisor with a CIRO Dealer Member
  • Post-secondary education
  • Eligible for immediate registration as a designated supervisor of managed accounts with CIRO
  • Ability to maintain continuing education requirements for IIROC/CIRO registrants
  • Strong knowledge of Canadian financial services regulations, including CIRO and CSA requirements
  • Excellent communication skills with the ability to work effectively with advisors, staff, and senior leadership
  • Strong analytical and problem-solving abilities
  • Organized and able to manage multiple priorities while meeting deadlines
  • Proficiency with Microsoft Office applications

Remuneration

$80,000 - $110,000 base salary plus benefits.


Only candidates eligible to work in Canada will be considered

Horizon Recruitment Inc. is a specialized recruitment and search firm with two complimentary practice areas: Finance & Supply Chain.

Frequently asked questions

Who is hiring for the Senior Compliance Officer role?
Horizon SF is hiring for the Senior Compliance Officer position, a Shazamme client. Apply directly on the employer's career site.
Where is the Senior Compliance Officer job located?
The Senior Compliance Officer role with Horizon SF is based in Toronto, US.
What does the Senior Compliance Officer role pay?
Horizon SF lists the Senior Compliance Officer role at USD 80,000–110,000 per year.
Is the Senior Compliance Officer role full-time or contract?
This is a full time position at Horizon SF.
What experience level is the Senior Compliance Officer role?
The Senior Compliance Officer position is aimed at senior-level candidates.
How do I apply for the Senior Compliance Officer role at Horizon SF?
Apply directly on Horizon SF's career page via the Apply button on this listing. ZammeJobs links straight through to the employer's ATS — no third-party form, no resume database.
Apply direct