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Wealth Management Regulatory Compliance Officer

Hospitality Full Benefits Career Growth
Company

Aston Carter

Location

Toronto, Canada

Posted

November 30, 2022

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About This Opportunity

Description: These roles are within one of our large Canadian banking clients' wealth management compliance groups. On a day to day basis, successful candidates will be responsible for the following: - Attend meetings with team members and stakeholders to determine what changes in regulatory requirements are coming and the controls associated with them.

- Ensure the controls designed to address the regulatory risk are appropriate in nature. - Receive, read and review regulatory requirements while creating summaries of them.

- Gain a thorough understanding of the current controls set in place to address regulatory requirements, and determine whether any changes to those controls may be needed. - Assist in documentation process of business controls.

Additional Skills & Qualifications: Candidates should have the following: - Strong attention to detail: Will be responsible for reviewing strict regulations and creating controls for them. - Good understan...