MFDA Career Opportunity

Compliance Officer (Toronto Office)

The Mutual Fund Dealers Association of Canada is the self-regulatory organization for mutual fund dealers in Canada. The MFDA is committed to protecting the investing public by delivering responsible and effective regulation, strengthening collaboration, knowledge and expertise; and promoting investor confidence.

As a Compliance Officer, you will be responsible for conducting examinations of Member firms to assess compliance with the Mutual Fund Dealers Association’s by-laws, rules and policies.

Key Responsibilities:

  • Testing compliance with regulatory requirements in accordance with the examination program.
  • Conducting interviews with supervisory staff and representatives at Member firms.
  • Documenting a working paper file, including the testing performed and the supporting evidence obtained.
  • Preparing reports that document any identified deficiencies and working with Member firms to establish required actions to resolve the deficiencies.
  • Reviewing new Member applications and performing examinations of new applicants to determine compliance with MFDA requirements.

Education/ Experience:

  • 2-3 years in a compliance, regulatory or audit function.
  • Solid knowledge of the mutual fund industry and audit requirements.  
  • A university degree in business or accounting.
  • Completion of the Canadian Securities Course, Branch Managers Course and/or the Partners, Directors and Senior Officers (PDO) Course considered an asset.
  • Ability to travel extensively in the GTA and some travel required within Canada.
  • Bilingualism (French and English) would be a definite asset.

Please apply to:
Mutual Fund Dealers Association of Canada
E-mail: or Fax: (416) 361-6381

All applications will be treated on a confidential basis.

The MFDA is an approved Chartered Professional Accountant training office.

Reasonable Accommodations will be made to those qualified candidates with disabilities upon request.

We thank all applicants; however only those candidates selected for interviews will be contacted