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.
- 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.
- 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: email@example.com 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