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Legal Compliance Officer


Job Description

Job purpose/summary

This role will require a tactical level of experience to drive compliance efforts. This is a significant time of change in corporate and industry compliance and this role will assist in the development and delivery of that change.

Duties and responsibilities

The ideal candidate will be responsible for:

  • Providing legal compliance support and assisting in the regulatory compliance 
  • Investigating call compliance matters that might require more training, monitoring, or other remedial action
  • Preparing summary reports to management 
  • Assuring overall regulatory compliance promoting continuous improvement in the internal audit process and risk assessment affecting the business
  • Providing proper communication materials that accurately summarize regulatory requirements or changes
  • Performing general control oversight and reviewing to verify compliance with license positions and professional standards within technology areas
  • Maintaining all annual updates, renewals and reports submitted to regulatory agencies while keeping company stakeholders informed of any changes to permit requirements to ensure compliance
  • Providing testing related regulatory compliance information with appropriate individuals, teams, and forums to reduce and/or preventing critical errors that may inhibit the development of products or services
  • Managing the technical aspects of the policy and procedure governance system including engaging in discussions with management, business units, and other departments


The ideal candidate will demonstrate competencies in the following areas:

  • Identifying needs and specific tasks and resources required to conduct the self-evaluation and bringing the organization into compliance with industry standards
  • Monitoring changes in federal, provincial, and local legislation and leading implementation of processes, policies, and practices to ensure compliance and maintaining an annual calendar of required changes
  • Ensuring consistent application of relevant quality assurance policies, programs, and systems that are critical to the success of business functions
  • Developing effective relationships with stakeholders including business process owners and internal audit functions
  • Supporting management reviews and monthly QA meetings
  • Serving an important role in ensuring the organization’s teams are managing, monitoring, and escalating risks within the compliance management framework
  • Taking responsibility for routine communications and information retrieval process for elevating feedback
  • Leading the licensing compliance function with development, implementation, and continuous improvement of policies and compliance procedures, training, driving, and maintaining standards and strategies of financial services licensing compliance program
  • IT Management
  • IT Risk Management
  • IT Service Management
  • Process Management
  • Operational Risk Management
  • General Management
  • Time Management
  • Business Process Improvement
  • IT Project Management
  • Change Management
  • Quality Management System
  • Human Resource Management
  • Technical Management
  • Business Process Changes
  • Information Management

Tools and technologies

  • Web-based Software
  • Embedded Services
  • Microsoft Applications
  • Microsoft Access
  • Microsoft Windows Server
  • Microsoft Project
  • Microsoft Office
  • Microsoft Edge
  • Microsoft Suite
  • Microsoft Windows
  • Open-Source software
  • Microsoft Excel
  • Microsoft PowerPoint
  • Microsoft Dynamics
  • Microsoft Word
  • Microsoft Outlook
  • Microsoft Office 365

Reporting relationship

To be completed by the user of this job description as appropriate

Direct reports (if appropriate)

To be completed by the user of this job description as appropriate



To be completed by the user of this job description as appropriate


To be completed by the user of this job description as appropriate

Other relevant qualifications

To be completed by the user of this job description as appropriate

Key Attributes

To be completed by the user of this job description as appropriate


To be completed by the user of this job description as appropriate

Working conditions (if required)

If the job requires a person to work in special working conditions this should be stated in the job description. Special working conditions cover a range of circumstances from regular evening and weekend work, shift work, working outdoors, working with challenging clients, and so forth.

Physical requirements (if appropriate)

If the job is physically demanding, this should be stated in the job description. A physically demanding job is one where the incumbent is required to stand for extended periods, lift heavy objects regularly, do repetitive tasks with few breaks, and so forth.