Deals Compliance Manager

Deal Processing Expertise & Support Provide expert guidance on real estate transaction processing, ensuring deals move smoothly through all stages from acceptance to closing. Support agents and teams with complex deal structures, documentation requirements, and procedural questions. Review and validate deal documentation for accuracy and completeness. Ensure alignment with brokerage-specific policies and procedures. Troubleshoot processing issues and provide solutions to keep transactions on track.

Regulatory Compliance & Advisory Maintain deep expertise in legislative and regulatory  compliance requirements (eg:  FINTRAC, AML,  RECO) and provide guidance to ensure all transactions meet regulatory standards. Ensure adherence to  the Trust in Real Estate Services Act, 2020 ("TRESA") and compliance with  The Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA), and PIPEDA rules and regulations. Monitor regulatory changes and update internal processes accordingly. Conduct compliance reviews of deals and documentation. Advise on risk mitigation strategies and proper compliance procedures. Provide ongoing education and training to staff on new or amended regulations to ensure compliance and up-to-date knowledge. Address inquiries from Broker of Records. Participate in hearings and audits if requested or require.

Real Estate Deal Accounting Support Provide expertise on trust accounting, deposit handling, and financial transaction requirements. Ensure proper documentation of all financial aspects of real estate transactions. Address reconciliation issues and guide teams on proper handling of deposits, commissions, and closing funds.

Internal Controls & Infrastructure Partner with our engineering team to establish and maintain appropriate internal controls related to document flow management. Design and implement systems for tracking financial transactions and ensuring proper documentation workflows. Advise on audit and control requirements to ensure accuracy and compliance and secure document handling.

Consultation & Knowledge Sharing Serve as the go-to subject matter expert for complex deal processing and compliance questions. Provide training and guidance to staff, and stakeholders on best practices. Create and maintain documentation, procedures, and training materials. Share expertise through formal and informal consultation sessions.

Risk Identification & Mitigation Proactively identify potential compliance risks or deal processing issues before they become problems. Provide guidance on managing high-risk transactions or unusual circumstances. Support audit processes and regulatory inquiries when needed. Develop risk assessment frameworks and mitigation strategies.

Process Improvement & Quality Assurance Identify opportunities to streamline and improve deal processing workflows. Review current processes for compliance gaps or inefficiencies. Recommend and implement process improvements that enhance accuracy and reduce risk. Maintain quality standards across all deal processing activities.

Role Requirements

Experience & Licensing:

●       5+ years of experience as a Broker of Record or Broker Manager and/or 7 Years of Deal processing experience

●       Active Ontario Broker license (Nice to have)

●       Proven track record in real estate brokerage operations and compliance oversight

Regulatory & Compliance Expertise:

●       In-depth knowledge of TRESA, RECO processes and best practice guidelines, OREA resources, FINTRAC compliance and any other related associations

●       Deep understanding of PIPEDA and CRTC DNC rules and regulations

●       Experience with regulatory audits and hearings

●       Current knowledge of evolving real estate regulations and compliance requirements

Technical Skills:

●       Expertise in real estate transaction processing from acceptance to closing

●       Strong knowledge of trust accounting, deposit handling, and financial transaction requirements

●       Experience with internal controls, audit trails, and documentation workflows

●       Proficiency with real estate software systems and LoneWolf platforms

Leadership & Communication:

●       Proven ability to provide training and education

●       Strong consultation and advisory skills with ability to address complex compliance questions

●       Experience creating documentation, procedures, and training materials

●       Excellent written and verbal communication skills

Analytical & Problem-Solving Skills:

●       Ability to identify compliance risks and develop mitigation strategies

●       Experience in process improvement and quality assurance

●       Strong attention to detail for reviewing and validating deal documentation

●       Capability to troubleshoot complex transaction issues