Compliance Analyst

We are seeking a highly motivated and detail-oriented entry-level Compliance Analyst to join our Chief Compliance Officer in Toronto. This role is ideal for a recent graduate with prior internship experience at an investment bank, fintech company, financial services firm, or regulatory/compliance-focused organization.

The Compliance Analyst will support the firm’s efforts to maintain a strong culture of compliance, adhere to applicable laws and regulations, and manage regulatory, operational, and reputational risk. The role offers exposure to key areas such as regulatory monitoring, policies and procedures, employee compliance, surveillance, anti-money laundering, know-your-customer processes, fintech controls, and internal reporting

Key Responsibilities

Support the day-to-day operations of the Compliance function across regulatory, advisory, monitoring, and surveillance activities

Assist in reviewing policies, procedures, and internal controls to ensure alignment with applicable regulatory requirements and industry best practices

Assist with transaction monitoring, communications surveillance, trade surveillance, or other risk-based monitoring activities as applicable

Help prepare internal compliance reports, management updates, regulatory filings, and audit or examination materials

Monitor regulatory developments and assist in assessing their potential impact on the business

Work with Legal, Risk, Operations, Technology, Finance, and front-office teams to support compliance initiatives

Maintain accurate records of compliance reviews, approvals, exceptions, escalations, and remediation efforts

Assist in compliance testing, risk assessments, control reviews, and internal investigations as needed

Support training initiatives by helping prepare materials, track completion, and identify areas for employee education

Contribute to process improvements, automation initiatives, and compliance technology enhancement

Qualifications

Bachelor’s degree in Finance, Economics, Business, Political Science, Law, Accounting, Computer Science, Data Analytics, or a related field

Prior internship experience at an investment bank, fintech company, broker-dealer, asset manager, payments company, consulting firm, regulator, or financial services institution

Strong interest in financial markets, fintech, regulatory compliance, risk management, and corporate governance

Excellent analytical, organizational, and problem-solving skills

Strong written and verbal communication skills

High attention to detail and ability to handle sensitive or confidential information with discretion

Ability to work independently while collaborating effectively across teams

Proficiency in Microsoft Office, particularly Excel, PowerPoint, Word, and Outlook

Preferred

Internship exposure to compliance, legal, risk, operations, internal audit, financial crime, regulatory reporting, or control functions

Familiarity with securities regulations, AML/KYC requirements, sanctions compliance, market abuse rules, data privacy, or fintech regulatory frameworks

Experience with compliance platforms, surveillance tools, case management systems, CRM tools, or data analytics software

Basic knowledge of SQL, Python, Tableau, Power BI, or other data analysis tools is a plus.

Primary Location: Toronto Full Time Salary Range of CAD$65,000-CAD$75,000

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