Compliance Officer

 CST Consultants Inc.  - North York, ON (7 months ago)

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Whether your passion is taking care of people, information or projects, our dedication to families and higher learning offers an opportunity to put your talents to good use.

CST is a growing organization that is continuously looking for qualified and skilled individuals to join our efforts to advocate, develop, deliver and support solutions that will enable every Canadian resident to have sufficient financial resources to pursue post-secondary education.
Position: Compliance Officer
Company: CST Consultants Inc.
Industry: Financial Services
Reports to: Director, Compliance/Chief Compliance Office
Location: North York, Ontario

About CST:
The Canadian Scholarship Trust Foundation (CST) has one aim: To make it possible for every Canadian to
plan for their children’s post‐secondary education. CST Spark is the latest chapter from the ongoing story
of innovative education savings that began in 1960. Today, we continue to inspire and revolutionize
education savings with CST Spark – the simple, modern RESP that combines top investment expertise
with the latest technology. For additional information, please visit &

Come grow with us!

Job Summary:
The Compliance Officer is responsible for advising and updating C.S.T. Consultants Inc.’s (CSTC) Director,
Compliance on all regulatory compliance related issues, ensuring dealer compliance with relevant
securities rules and regulations and federal and provincial legislation, coordinating and carrying out branch
audits, acting as a liaison with the securities regulators in assigned jurisdictions, and supporting the
business in the implementation of its initiatives.

What’s in it for you?

Below are examples of some of the things you can take advantage of from this opportunity:

  • Be part of a growing innovative company that’s a leader in their industry
  • Work with a highly motivated, collaborative, and fun team/work environment
  • Have the right key support team members to help you succeed in your role
  • Competitive salary
  • RRSP Group Pension Plan with company contributions
  • Above industry standard benefits that starts on your first day (no waiting period); 100% company
  • Annual performance bonus program
  • Education reimbursement program (for approved courses)
  • Great vacation package, plus additional personal days, study days, volunteer days, 10 paid sick
days, etc.
  • Wellness Program (Ex. Gym membership, Health & Fitness Representative, and Masseuse on‐
site, etc.)
  • Employees Recognition Program
  • Organization & team celebration events (ex. Summer BBQs, Team Spirit Days, Holidays…)
  • Employee Assistance Program and much more!!!
  • Ability to work remotely 2 days per week
  • Conduct data analysis to identify trends and insights, including the development of predictive
key performance indicators. Escalate any identified trends to the Director, Compliance

  • Create/improve existing supervisory reports and/or develop the requirements for exception
reports/metrics/ tools to support the supervisory practices of Head Office and the Branch
Managers and provide business insights

  • Leveraging technology, develop computer assisted audit techniques and online training modules
  • Coordinate and conduct branch audits to ensure all compliance requirements are being followed
  • Monitor trading activities of Sales Representatives in assigned jurisdictions utilizing applicable
reports and the Sales database
  • Conduct a timely review of all new Sales Representative applications and disclosures for
registration in the provinces assigned for submission to the relevant regulator
  • Oversee the subscriber complaints handling process by reviewing all complaint files and staff
recommendations and providing support as required for resolution
  • Review and approve all corporate and local marketing collateral and contest rules and
  • Monitor changes to securities and other legislation as it relates to regulatory compliance, assess
the impact on CSTC and provide comments/responses as required
  • Assess the effectiveness of compliance policies and procedures on an on‐going basis to ensure
compliance with securities and other laws, and recommend and implement changes where

  • Develop and deliver online and in‐person Compliance training programs to the distribution
channels and Head Office staff

  • Support the business and its initiatives by providing research, consultation and advice to identify
and address the compliance implications of new programs and initiatives

  • Perform special compliance‐related projects and other duties, such as prospectus document
preparation, due diligence reviews, as required

  • 3+ years’ experience in a self‐regulatory organization or the investment management industry is
required. Experience with the MFDA or a member firm is preferable

  • Post‐secondary education, preferably a degree in accounting, economics or a related field
  • A thorough knowledge of securities regulations and laws along with experience in their
application to distribution and financial services operations, including dealer registration
  • Canadian Securities Course or Canadian Investment Funds Course; Partners, Directors and Senior
Officers Course; Branch Managers Course. Conduct and Practices Course and Chief Compliance
Officer Qualifying Exam an asset

  • Strong analytical and problem‐solving skills necessary to identify trends and issues and good
judgment to recommend solutions that support CST’s business objectives

  • Strong interpersonal and organizational skills
  • Effective written and oral communication
  • French language proficiency is an asset
  • Ability to work independently and be a self‐starter
  • Must be available to travel to visit Branch Offices and conduct audits and training
  • Strong relationship building skills with a positive “can‐do” attitude!
To apply please email your resume to:
  • In your email subject line please insert: Compliance Officer
Thank you for your interest in this job opportunity. Only those selected for an interview will be
contacted. We will consider your resume for other opportunities as they arise.

Accommodations are available on request for candidates taking part in all aspects of the recruitment and
selection process. To request accommodation, please contact Maricel at 647‐889‐3403.