Equity Associates Inc.
Richmond Hill, ON

Auditor/Compliance Intermediate Team-Lead

Job Description

The Auditor/Team-lead is a self-starter who is able to problem-solve and utilize technology to achieve results. Reporting to the Chief Compliance Officer (CCO), the Auditor/Team-Lead would bring their leadership experience and compliance knowledge to bear while conducting branch examinations and working within the broader compliance team.


Conduct branch examinations in keeping with Equity Associates policies and in accordance with MFDA Policy 5. Specifically, you would:

  • Conduct onsite audits of branch offices which include file/systems review along with Approved Person (AP) Interviews and Branch Manager/Supervision Interviews
  • Assist in the preparation of the report of audit findings and work with AP and location to address items noted in the branch audit report and ensure closure of branch audit
  • Provide regular reporting to CCO
  • Conduct compliance training at branch locations
  • Schedule Audit calendar and travel arrangements to locations
  • Consistently assess/enhance the Audit Program
  • Ad-hoc location audits as assigned
  • Other compliance tasks as may be assigned


With your 3+ years of experience working in a compliance capacity within an MFDA (or similar) firm, and background of leadership experience you will support and positively encourage the growth and development of the compliance department. Specifically, you would:

  • Function as a compliance subject-matter expert and team-leader
  • Assist in the development and growth of individuals within the compliance department
  • Ability to monitor and support Tier-1 and Tier-2 functions as needed
  • Assist with conducting investigations and reviewing client complaints
  • Tasks as assigned by CCO


  • Successful completion of The Investment Funds of Canada Course (IFIC) or Canadian Securities Course (CSC); Exempt Market Proficiency Course (EMP), Branch Manager’s Examination Course (BM) or The Branch Manager’s Course (BMC), and other relevant courses
  • Ability to travel (30% of the role will involve travel)
  • Proficient with Microsoft Office
  • Strong communication skills

Preferred Qualifications

  • Post-Secondary education
  • 5+ years experience in the financial industry with a minimum of 3 in compliance

Equity Associates Inc. has an accommodation process in place that provides accommodations for employees with disabilities. If you require a specific accommodation because of a disability or a medical need, please contact Karl Netten, CCO by phone at 905.305.0400.

This ensures that the appropriate accommodations are in place before you begin your employment.

Job Type: Full-time


  • financial services: 5 years (Preferred)
  • Compliance: 3 years (Preferred)