Sales Communications Compliance Officer

We are a leading financial services provider committed to making decisions easier and lives better for our customers and colleagues around the world. From our environmental initiatives to our community investments, we lead with values throughout our business. To help us stand out, we help you step up, because when colleagues are healthy, respected and...

Nous sommes un fournisseur de services financiers qui s'emploie à faciliter les décisions de nos clients et de nos collègues partout dans le monde et à les aider à vivre mieux. De nos initiatives environnementales à nos investissements dans la collectivité, nous montrons la voie en nous appuyant sur des valeurs, et ce, dans l'ensemble de nos...

At 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...

We are in search of a Compliance Officer with strong business insight and impartiality to join our dynamic squad and become part of one of Canada's rapidly expanding exchange traded fund ('ETF') providers.Flexible work schedule; 6 billion in ETF assets under management, we are looking for an enthusiastic individual to join our entrepreneurial team of skilled...

Requisition ID: 178998Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.**_Purpose_**Contributes to the overall success of the Scotia Securities Inc. (SSI) / Global Compliance GWM in Canada ensuring specific individual goals, plans, initiatives are executed / delivered in support of the team's business...

JOB OVERVIEWWe 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...

JOB OVERVIEW: Currently seeking a Compliance Officer, Surveillance to join the Compliance team to monitor client account activity of Assante advisors in line with internal procedures and regulatory requirements, providing support to advisors and Branch Managers.WHAT YOU WILL DO:Conduct, monitor, and document daily and monthly head office reviews of client...

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...

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...

Job SummaryAs a Compliance Officer you will be responsible for helping Enable deliver on its quality management programme to meet external regulatory and statutory requirements and internal policies and procedures as part of the Sourcing, Risk & Compliance function. Your role is key in helping Enable's departments understand their requirements and identify...

100 King Street West Toronto Ontario,M5X 1A1Assists in the implementation, maintenance and administration of a specific compliance program. Coordinates and performs risk assessment, monitoring, testing and surveillance activities to ensure program remains current and aligned with BMO Compliance Program. Works with business/group and internal partners to...

Job Summary: We are looking for a part-time Compliance Officer to ensure that our operations comply with regulatory requirements and internal policies. The successful candidate will oversee compliance efforts related to FINTRAC regulations, particularly in the areas of money remittance, payment processing, and virtual currency transactions. This role is...

OverviewPolicyMe is looking for a Compliance Officer to ensure our operations comply with legal and regulatory frameworks, reporting to the VP of Business Operations/COO. You will establish and maintain a compliance program aligning with our goals. Your role involves supervising advisor activity for ethical standards and customer protection.PolicyMe is...

iCapital is powering the world's alternative investment marketplace. Our financial technology platform has transformed how advisors, wealth management firms, asset managers, and banks evaluate and recommend bespoke public and private market strategies for their high-net-worth clients. iCapital services approximately $180 billion in global client assets...

As an integral part of the Bridgehouse (BIPCo) executive leadership team and reporting to the President & CEO, the role of Counsel and CCO takes both a strategic and hands-on approach to the legal aspects of significant corporate initiatives, including: continuous disclosure for the Funds, new product development, reorganizations and strategic relationships,...

Position Title: Compliance Officer (MFD)Department: Business Conduct ComplianceRegion: TorontoStatus: Permanent Full-time (Hybrid)CIRO is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada's debt and equity marketplaces.CIRO is carrying on the regulatory functions of the...

Compliance OfficerWhat can you expect? This position acts as a compliance resource for colleagues, including guidance with respect to adherence to Corporate Policies, applicable provincial and territorial regulations and laws, sanctions, assisting with compliance and risk management activities and the implementation, and monitoring of compliance procedures...

At 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. We are...

Job Title: Compliance Officer - Education**Location:Toronto CampusJob Type:Full-time, PermanentJob SummaryFleming College Toronto is a public college-private partnership between Fleming College (FC) and Trebas Institute, with academic delivery and student support services managed by Global University Systems (GUS) Canada. Fleming College Toronto and Trebas...

Who we are and what we doThat's why we raised three rounds of funding from tier 1 VCs - to build a platform that makes general maintenance easier, and help give property managers visibility into areas that might be falling through the cracks. We're passionate about bringing this to the world, and we want you along on this journey.Grow with usOpportunities...