Current jobs related to Compliance Officer, Surveillance - Toronto ON - CI Financial
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Compliance Officer, Surveillance
4 months ago
Toronto, Canada CI Financial Full timeJob Description WHAT YOU WILL DO -Conduct, monitor and document daily and monthly head office reviews of client account activity with a focus on criteria outlined in CIRO (mutual fund dealer and investment dealer) rules, other regulations, and corporate guidelines and policies -Identify trends developing in trading of specific advisors and/or client...
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Compliance Officer, Surveillance
3 months ago
Toronto, Canada CI Financial Full timeAt CI, we see a great place to work as one that is a safe place for everyone to have a voice, where people are empowered to take ownership over meaningful work, where there is an opportunity to grow through stretching themselves, where they can work on innovative products and projects, and where employees are supported and engaged in doing so. JOB...
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Senior Compliance Officer, Trade Surveillance
1 month ago
Toronto, Canada Scotiabank Full timeRequisition ID: 205599 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. Purpose The objective of the Senior Compliance Officer (SCO) is to directly conduct capital markets trading related surveillance, monitoring and support for the Global Banking and Markets & Treasury (“GBM&T”) business...
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Toronto, Ontario, Canada Scotiabank Full timeCompliance Officer, Retail SurveillanceScotiabank is seeking a highly skilled Compliance Officer to join our Canadian Wealth Distribution Compliance team. As a key member of our team, you will play a critical role in ensuring the bank's compliance with governing regulations, internal policies, and procedures.Key Responsibilities:Conduct compliance oversight...
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Toronto, Ontario, Canada Scotiabank Full timeCompliance Officer, Retail SurveillanceScotiabank is seeking a highly skilled Compliance Officer to join our Canadian Wealth Distribution Compliance team. As a key member of our team, you will play a critical role in ensuring the bank's compliance with governing regulations, internal policies, and procedures.Key Responsibilities:Conduct compliance oversight...
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Toronto, Ontario, Canada Scotiabank Full timeCompliance Officer, Retail SurveillanceScotiabank is seeking a highly skilled Compliance Officer to join our Canadian Wealth Distribution Compliance team. As a key member of our team, you will play a critical role in ensuring the bank's compliance with governing regulations, internal policies, and procedures.Key Responsibilities:Conduct compliance oversight...
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Toronto, Ontario, Canada Scotiabank Full timeSenior Compliance Officer, Trade SurveillanceScotiabank is seeking a highly skilled Senior Compliance Officer to join our Trade Surveillance team. As a key member of our team, you will be responsible for conducting capital markets trading related surveillance, monitoring, and support for our Global Banking and Markets & Treasury business division.Key...
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Toronto, Ontario, Canada Scotiabank Full timeSenior Compliance Officer, Trade SurveillanceScotiabank is seeking a highly skilled Senior Compliance Officer to join our Trade Surveillance team. As a key member of our team, you will be responsible for conducting capital markets trading related surveillance, monitoring, and support for our Global Banking and Markets & Treasury business division.Key...
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Senior Compliance Officer, Trade Surveillance
1 month ago
Toronto, Canada Scotiabank Full timeRequisition ID: 205599Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. Purpose The objective of the Senior Compliance Officer (SCO) is to directly conduct capital markets trading related surveillance, monitoring and support for the Global Banking and Markets & Treasury ("GBM&T") business division of...
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Toronto, Ontario, Canada Scotiabank Full timeJob Title: Senior Compliance Officer, Trade SurveillanceScotiabank is seeking a highly skilled Senior Compliance Officer to join our Global Banking and Markets team. As a key member of our Trade Surveillance team, you will be responsible for conducting capital markets trading related surveillance, monitoring, and support.Key Responsibilities:Conduct...
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Toronto, Ontario, Canada Scotiabank Full timeJob Title: Senior Compliance Officer, Trade SurveillanceScotiabank is seeking a highly skilled Senior Compliance Officer to join our Global Banking and Markets team. As a key member of our Trade Surveillance team, you will be responsible for conducting capital markets trading related surveillance, monitoring, and support.Key Responsibilities:Conduct...
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Toronto, Ontario, Canada Scotiabank Full timeCompliance Officer, Retail SurveillanceScotiabank is seeking a highly skilled Compliance Officer to join our Canadian Wealth Distribution Compliance team. As a key member of our team, you will play a critical role in ensuring the bank's compliance with governing regulations, internal policies, and procedures.Key Responsibilities:Conduct compliance oversight...
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Toronto, Ontario, Canada Scotiabank Full timeCompliance Officer, Retail SurveillanceScotiabank is seeking a highly skilled Compliance Officer to join our Canadian Wealth Distribution Compliance team. As a key member of our team, you will play a critical role in ensuring the bank's compliance with governing regulations, internal policies, and procedures.Key Responsibilities:Conduct compliance oversight...
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Senior Compliance Officer, Trade Surveillance
1 month ago
Toronto, Canada Scotiabank Full timeRequisition ID: 205599Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. Purpose The objective of the Senior Compliance Officer (SCO) is to directly conduct capital markets trading related surveillance, monitoring and support for the Global Banking and Markets & Treasury (“GBM&T”) business...
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Senior Compliance Officer, Trade Surveillance
4 weeks ago
Old Toronto, Canada Scotiabank Full timeJoin a purpose driven winning team, committed to results, in an inclusive and high-performing culture.PurposeThe objective of the Senior Compliance Officer (SCO) is to directly conduct capital markets trading related surveillance, monitoring and support for the Global Banking and Markets & Treasury (“GBM&T”) business division of Scotiabank. The SCO is...
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Senior Compliance Officer, Trade Surveillance
1 month ago
Old Toronto, Canada Scotiabank Full timeJoin a purpose driven winning team, committed to results, in an inclusive and high-performing culture.PurposeThe objective of the Senior Compliance Officer (SCO) is to directly conduct capital markets trading related surveillance, monitoring and support for the Global Banking and Markets & Treasury (“GBM&T”) business division of Scotiabank. The SCO is...
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Senior Compliance Officer, Trade Surveillance
4 weeks ago
Old Toronto, Canada Scotiabank Full timeJoin a purpose driven winning team, committed to results, in an inclusive and high-performing culture.PurposeThe objective of the Senior Compliance Officer (SCO) is to directly conduct capital markets trading related surveillance, monitoring and support for the Global Banking and Markets & Treasury (“GBM&T”) business division of Scotiabank. The SCO is...
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Toronto, Ontario, Canada Scotiabank Full timeAbout the RoleWe are seeking a highly skilled Compliance Officer to join our Retail Surveillance team at Scotiabank. As a key member of our compliance team, you will play a critical role in ensuring that our business operations are in compliance with governing regulations and internal policies.Key ResponsibilitiesConduct compliance oversight and surveillance...
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Toronto, Ontario, Canada Scotiabank Full timeAbout the RoleWe are seeking a highly skilled Compliance Officer to join our Retail Surveillance team at Scotiabank. As a key member of our compliance team, you will play a critical role in ensuring that our business operations are in compliance with governing regulations and internal policies.Key ResponsibilitiesConduct compliance oversight and surveillance...
Compliance Officer, Surveillance
4 months ago
JOB OVERVIEW We are currently seeking a Compliance Officer, Surveillance to join our Compliance team. In this role, the successful candidate is expected to monitor client account activity of Assante advisors in accordance with internal procedures and regulatory requirements and to actively provide support to Assante advisors and Branch Managers on surveillance related issues.WHAT YOU WILL DO-Conduct, monitor and document daily and monthly head office reviews of client account activity with a focus on criteria outlined in CIRO (mutual fund dealer and investment dealer) rules, other regulations, and corporate guidelines and policies-Identify trends developing in trading of specific advisors and/or client accounts with an emphasis on suitability, concentration, potential conflicts of interest and unusual transactions, conducting detailed analysis and escalating concerns to the Manager of Trade Surveillance where necessary-Follow up on inquiries from daily and monthly reviews with advisors and/or branch managers-Prepare weekly summaries of follow up work and ad hoc reports as required-Functions as a key point of contact and a resource on surveillance related inquiries and requests from employees and Branches (including advisors, Branch Managers and support staff)-Compliance officers will also be delegated additional core tasks such as email surveillance, reviewing and maintaining pro-accounts, sales/advertising approvals, and other tasks as warranted, which may also be for additional CI firms-Provide training to new compliance officers and other staff members-Continually evaluate the effectiveness of departmental procedures and participate in developing, maintaining, and implementing changes to the policies and procedures-Work on special projects, as requestedWHAT YOU WILL BRING-University degree or college diploma-Bilingual in English and French, written and verbal is an asset-2 - 4 years’ experience within Financial Services in sales, support or supervisory role-Previous compliance experience in dealership setting (investment dealer or mutual fund dealer) is a definite asset-Strong verbal and written communication skills-PC literate with advanced knowledge of MS Office (Excel, Outlook, PowerPoint and Word)-experience with insurance compliance is an asset-Completion of Canadian Securities Course (CSC) or proficiency to be registered as an investment dealer supervisor-Completion of Conduct and Practices Handbook (CPH), or willing to enroll within six months of hire-Completion of, or willing to enroll in, the Investment Dealer Supervisors Course would be an asset-Ability to work effectively and efficiently in a fast-paced environment-Detail oriented, extremely self-motivated, dedicated and a good team player-Able to handle multiple tasks and priorities effectively
