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Compliance Analyst
entry · Risk & Compliance
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 from a top-tier university 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 enhancements.
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.