Job Description

Our client, a leading Canadian banking institution, is looking for operations officers to join their Authorizations team, which provides support to Direct Investing clients. We are looking for individuals with investment industry experience with a focus on investment banking regulations. Applicants registered with IIROC are preferred.


Contract term: 08/01/2018 to 30/04/2018 (4 months), possible extension or conversion

Pay rate: $19.55/hour

Hours: 30-37.5 hours per week

Schedule: rotational, Monday - Saturday, 8:30am - 5:00pm availability required



1.) Investment industry experience
2.) Advanced keyboarding
3.) Basic MS office, computer savvy 
4.) Banking experience  
5.) Quick learner + able to work in high volume environment


1.) Registered with IIROC
2.) Processing/operational experience

Job Description:

The successful candidate must have a passion for problem solving, analyzing and exceptional customer service skills with a Can Do attitude. The candidate should have an understanding of Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA) as well as the investment industry and its regulatory nature as it pertains to client onboarding.

  • As a member of the DI WCO Authorizations team the Officer is responsible for the review and signoff of personal new account applications submitted through the Wealth Client Onboarding (WCO) system for Direct Investing clients.
  • New account documentation is reviewed to ensure completeness and adherence to regulatory requirements (AML, IIROC), legal, and taxation (QI/FATCA/CRS) requirements. 
  • Work closely with partners in Wealth to ensure all accounts are reviewed and opened in a timely manner.
  • Respond to telephone and email inquiries in an efficient and professional manner.
  • Demonstrate clear understanding of business and regulatory requirements to the partner and provide available options for resolution
  • Working within a team and with business partners to achieve common goals and objectives, contributing to a positive team environment.
  • Contribute to the overall productivity of the team by maximizing individual efficiency, productivity, availability and flexibility.

Job requirements:

Note: Preference will be given to individuals who are already registered with IIROC.

Position requires an individual who possesses the following skills:

  • Sound understanding of Industry Regulations (AML, Sanctions, IIROC, QI, CRS, FATCA and FINTRAC) and operating practices in opening investment trading accounts for clients
  • Working knowledge of the following systems: ISM; EIS; Core; CIF; Ticketing, WCO
  • Knowledge of regulatory, compliance and control changes in order to manage the Regulatory, Financial and Reputational risks
  • Knowledge of the client onboarding process including the complexity around new account documentation
  • Possess excellent communication skills, oral and written, and able to demonstrate a high level of professionalism and maturity with every employee and client interaction
  • Intermediate to Advanced proficiency in Microsoft Office
  • Advanced Keyboarding skills
  • Manage efficiently in a multi task environment
  • An enthusiastic team player with the ability to work independently while maintaining a positive and productive attitude at all times.
  • The candidate should possess strong problem solving and investigation skills.
  • Ability to quickly learn new systems, applications and processes
  • The candidate will have to demonstrate an ability to work within tight timelines and pressure.
  • Overtime may be required during peak periods
  • CSC and IFIC courses are assets.

EDUCATION: High school education required. Post-secondary preferred. 2-4 years of related experience.



Please send your resume to with the subject line "Banking Operations Officer II - Toronto"