Compliance Analyst

Optimize Wealth Management is a premier wealth management firm in Toronto, ON, dedicated to achieving our clients' financial goals. We offer personalized financial solutions covering financial planning, portfolio management, tax preparation, debt management, and estate planning. Our holistic approach focuses on matching clients' financial and life goals with personalized strategies for success.

We are looking for a Compliance Analyst to join our team. This role requires strong knowledge of compliance supervision, regulatory standards, and client account oversight. We are looking for people who are detail-oriented, diligent, and passionate about ensuring the highest standards of regulatory and operational compliance. You need to be highly organized and able to manage multiple priorities.

As a member of the Compliance Team, your role would entail:

• Reviewing and approving new client accounts in line with regulatory requirements
• Supervising client account activity and ensuring ongoing compliance with AML standards
• Maintaining and updating compliance documentation in accordance with regulatory deadlines
• Acting as a knowledge resource on account opening requirements and AML procedures
• Gathering, analyzing, and interpreting data to identify and resolve potential compliance issues

Job Requirements

Must-have:

• A minimum of 3–5 years of compliance supervision experience in a portfolio management or investment dealer environment
• Post-secondary diploma or degree in a related discipline, or equivalent experience
• Strong knowledge of CIRO and OSC rules, guidelines, and policies
• Advanced understanding of compliance, AML, and regulatory frameworks
• Excellent organizational skills with the ability to meet deadlines
• Strong interpersonal and problem-solving skills

Nice-to-have:

• Completion of the Canadian Securities Course (CSC) and Investment Dealer Supervisors Course
• Experience with HubSpot or similar CRM tools

What’s in it for you?

• A competitive salary
• The opportunity to work in a rapidly growing, dynamic, and high-performing company within the downtown financial district