Canada: Senior Operations and Regulatory Compliance Specialist Role in Financial Services Sector

Canada: Building a long-term and meaningful career in the financial services industry requires the right balance of professional growth, ethical responsibility, and organizational support. This opportunity is designed for experienced professionals who are passionate about regulatory integrity, operational excellence, and continuous improvement within a highly respected investment management environment in Canada.

Introduction to the Role

This full-time position is based in Canada and requires valid work authorization. The role follows a flexible hybrid working model, allowing professionals to balance in-office collaboration with remote efficiency. The position sits within a well-established organization that has spent decades supporting investors and institutions by delivering reliable investment solutions, forward-thinking strategies, and client-focused services. The work culture emphasizes innovation, accountability, and long-term career development in a supportive and inclusive environment.

Organizational and Business Context

The role operates within the Oversight and Compliance structure of the organization. The Compliance function is responsible for developing, maintaining, and monitoring internal policies that align with Canadian regulatory frameworks. It plays a vital role in reporting compliance matters to senior leadership and governance committees while ensuring that regulatory changes are effectively translated into operational practice. The department acts as a central advisory body for regulatory compliance across multiple business units.

Core Responsibilities and Daily Impact

Reporting directly to senior leadership within Operations and Regulatory Compliance, the Senior Specialist is responsible for ongoing monitoring, reporting, and documentation of compliance-related activities. This includes maintaining and updating internal compliance policies, preparing detailed materials for executive-level committees, and supporting business units with regulatory guidance.

A major aspect of the role involves reviewing and approving advertising and sales communications for both retail and institutional audiences. These materials may include digital content, presentation decks, whitepapers, webcasts, reports, and social media communications. The role ensures that all communications meet applicable securities regulations and internal governance standards.

The position also supports continuous enhancement of compliance programs related to registered plans, privacy obligations, complaints handling, information requirements, short-term trading controls, tax reporting standards, and operational error correction. Acting as a compliance representative on cross-functional projects is a key responsibility, requiring strong collaboration skills and the ability to embed compliance accountability across initiatives.

Regulatory Knowledge and Policy Development

Staying informed about regulatory updates, staff notices, and industry guidance is a critical expectation of this role. The Senior Specialist contributes to the development, revision, and implementation of compliance policies and procedures that respond to regulatory change. This includes creating training materials and internal communications to ensure that employees at all levels understand new requirements and operational impacts.

The role also involves conducting structured compliance monitoring reviews, documenting findings, and supporting corrective actions where necessary. Preparing reports and presentations for committees and internal training programs is an ongoing responsibility, requiring clarity, accuracy, and strong analytical capability.

Experience and Qualifications

Candidates are expected to have a minimum of four years of experience within a mutual fund dealer or fund manager environment, with recent exposure to compliance or related functions. A strong understanding of sales communication standards and Canadian securities regulations is essential. A post-secondary degree or equivalent professional experience is required, while operational experience within mutual fund administration is considered an asset.

Additional qualifications such as bilingual proficiency in English and French, enrollment in industry certification programs, or completion of recognized securities courses can further strengthen a candidate’s profile.

Professional Skills and Competencies

Success in this role requires excellent written and verbal communication skills, along with strong research, analytical, and problem-solving abilities. The individual must be comfortable working under pressure, managing multiple priorities, and collaborating with stakeholders across different levels of the organization. Attention to detail, sound judgment, and a proactive mindset are essential.

Strong proficiency in common business software tools is expected, as well as the ability to work independently while maintaining high standards of accuracy and timeliness.

Compensation, Benefits, and Career Support

The organization offers a competitive compensation package that reflects experience and contribution. This includes a market-aligned base salary, performance-based incentives, retirement savings contributions, comprehensive health coverage, wellness programs, generous time-off policies, and access to extensive learning and development resources. Employees are encouraged to pursue professional designations and continuous education, supported through reimbursement and recognition programs.

Commitment to Inclusion and Equal Opportunity

The employer is deeply committed to diversity, equity, and inclusion. All qualified applicants are considered without discrimination, and accommodations are available throughout the recruitment process. The organization actively fosters a workplace culture where individuals feel respected, supported, and empowered to perform at their best.

Long-Term Career Potential

This role offers the opportunity to make a meaningful impact within a respected financial institution while building a sustainable and rewarding career. Professionals who value integrity, regulatory excellence, and collaborative problem-solving will find this position both challenging and fulfilling.