Senior Compliance Officer

Job Description

<h3>Job Description</h3><p>Job Description<p>Description<p><em>Exciting news! Embark is moving its headquarters to the financial district in Toronto, ON. effective </em><strong><em>Q2 2026</em></strong><em>! Until then, our office remains in Mississauga, near Square One and the hybrid work model remains the same (in-office on Tuesdays and Wednesdays of each week).</em><br><br>We are seeking a highly motivated Senior Compliance Officer with 3-5 years of experience in a similar role, preferably within a Fintech environment. The successful candidate will be responsible for ensuring compliance with applicable laws, regulations, and internal policies across the organization. You will play a critical role in maintaining the company&#39;s integrity and reputation while working closely with business leaders to ensure compliance in all aspects of our operations. Experience navigating organizational transformation is a significant asset.</p><br />Skills, Knowledge and Expertise<p><br />· Review and update compliance policies, procedures, and controls to mitigate risk and maintain the company&#39;s commitment to best practices.<br><br></p><p><br />· Identify, assess, and manage compliance risks within operational processes and provide recommendations to senior management on risk mitigation strategies.<br><br></p><p><br />· Support and provide compliance insights during organizational transformation initiatives, ensuring that new processes or business models remain compliant.<br><br></p><p><br />· Provide regular compliance reports to senior leadership, highlighting key risks and areas of concern.<br><br>· Continually assess current processes and recommend appropriate enhancements to improve or adapt to changing business or regulatory requirements.<br><br></p><p><br />· Respond to assigned customer complaints.<br><br></p><p><br />· Review of proposed marketing initiatives for adherence to regulatory and Compliance policies.<br><br></p><p><br />· Act collaboratively with other business units to render a compliance service that supports the development of good quality business practices, and which protects and enhances the Embark Student Corp. brand.<br><br></p><p><br />· Perform ad-hoc and planned topic targeted reviewed to monitor and test Embark’s adherence to regulatory requirements.<br><br></p><p><br />· Assist in administration of Embark’s AML program.<br><br></p><p><br />· Work collaboratively with all Compliance Services peers and assist in the execution of their mandates were needed.<br><br></p><p><br><br></p><br />Desired Skills & Experience<p><br />If you can answer “YES” to the following questions, you may be the person we are looking for:<br><br></p><p><br />· Do you have 3-5 years of experience in a compliance role within a Fintech, banking, or financial services environment, with a strong understanding of Canadian regulatory frameworks (National Policy, FINTRAC, AML, PIPEDA)?<br><br></p><p><br />· Can you demonstrate experience supporting compliance through organizational transformation, including the integration of new systems, processes, or business models?<br><br></p><p><br />· Do you possess exceptional analytical skills with a strong attention to detail and ability to identify potential compliance risks.<br><br></p><p><br />· Do you have strong written and verbal communication skills, with the ability to clearly explain complex regulatory requirements to non-compliance staff and senior management?<br><br></p><p><br />· Are you a strong critical thinker with the ability to solve compliance-related challenges in a fast-paced, evolving environment?<br><br></p><p><br />· Have you successfully completed or are registered in the Canadian Investment Funds Course?<br><br></p><p><br />· Do you have at least three years experience of investigating and formally responding to customer complaints?<br><br></p><p><br />· Are you well-organized and detail-oriented, with the solid record-keeping skills needed to work with our internal systems and processes?<br><br></p><p><br />· Do you have strong analytical skills and an eye for detail?<br><br></p><p><br />· Do you desire to work in a team environment, in multiple capacities?<br><br></p><p><br />· Do you also possess the following skills?<br><br>o Industry awareness<br><br></p><p><br />o Numerical skills<br><br></p><p><br />o Planning and organizational skills<br><br></p><p><br />o Ability to understand broader business issues<br><br></p><p><br />o Communication and presentation skills<br><br></p><br />Why Join Us<ul><li><strong>Innovative Environment:</strong> Be part of a forward-thinking team that values innovation and experimentation.</li><li><strong>Growth Opportunities:</strong> Access to professional development and learning opportunities to advance your career.</li><li><strong>Collaborative Culture:</strong> Work in a collaborative, supportive environment that encourages idea sharing and teamwork.</li><li><strong>Impactful Work:</strong> Play a significant role in driving our digital success and achieving business goals.</li></ul><p><br /></p></p></p>