Leaders Recruiting Inc. | Manager Compliance / Investigations
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Manager Compliance / Investigations


Location: Toronto (Downtown)


Our client, a publicly traded Canadian financial services company, is looking for a Manager Compliance / Investigations to join their growing team.



  • Conducting detailed investigations and reporting on suspicious AML transaction, internal and external fraud, customer complaints, and privacy breaches – enterprise-wide.
  • Developing intelligence and awareness of evolving patterns of behaviour and risks arising from investigative findings and external sources and conducting follow-up investigations and analysis where warranted.
  • Preparing case files and maintaining appropriate records of all investigations conducted including descriptions of the incident, evidence collected, conclusions reached and actions taken.
  • Partnering with internal stakeholders and providing expert advice on measures to identify and mitigate the risks identified through your investigations.
  • Preparing recommendations for senior management on changes to operating practices and procedures to mitigate the risk identified through investigative findings.
  • Developing and delivering educational and training materials for employees and directors to ensure ongoing awareness of evolving risks and risk mitigation strategies.
  • Preparing reports for senior management and the board on investigative findings, their status and actions taken to mitigate or eliminate the risks in the future.
  • Providing support to Risk Management in executing their oversight of the Company’s enterprise wide fraud risk management program.
  • Liaising with internal and external parties, regulators, law enforcement, legal counsel etc., to coordinate activities where instances of fraud are confirmed.
  • Conducting quantitative and qualitative assessments of risk mitigation measures and preparing recommendations to senior management regarding enhancements to the system of internal controls.





  • 3-5 years’ experience in the financial services or banking industry preferably in the federally regulated sector in compliance, internal audit or investigations.
  • A university degree in finance, business or accounting or equivalent combination of education & experience and professional designation.
  • Knowledge of Anti-Money Laundering/Anti-Terrorist Financing requirements and investigative techniques.
  • Proven investigative and analytical skills and experience with compliance investigations with emphasis in AML and financial fraud.
  • Experience in a Federally Regulated Financial Institution strongly preferred.
  • Detail oriented.
  • Able to work with data and figures including advanced knowledge of MS Excel.
  • Excellent written and verbal communication skills.
  • Team player with ability to influence and mentor others.
  • Ability to work under pressure and at times in ambiguous circumstances.