Financial Services Compliance Associate

Apply compliance monitoring and Excel analysis as a Compliance Associate with Harbourfront Wealth, working remotely or hybrid from eligible Canadian offices.

Reporting to the Team Lead, Tier 2 Compliance Supervision, this role supports supervision activities across Harbourfront Wealth’s financial services and wealth management entities. You will review accounts, transactions, and reports while developing compliance expertise. Relationship building, customer service, and analytical skills are important.

Key Responsibilities:

• Review Tier 2 reports, client accounts, and transactions
• Document and elevate potential compliance issues
• Assist regulatory filings, examinations, audits, and inquiries
• Maintain compliance policies, procedures, and disclosures
• Collaborate with Legal, Operations, and internal teams

Requirements:

• One to three years in compliance, risk, or audit
• Financial services experience and wealth management understanding
• Microsoft Excel formulas, pivot tables, and reporting proficiency
• Strong analytical, organizational, and communication skills
• Preferred exposure to compliance monitoring or surveillance systems

Build a compliance career through supervision reviews, regulatory support, Excel analysis, and collaboration at Harbourfront Wealth.