Compliance Officer

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...

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...

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...

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...

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...

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...

40 Temperance Street Suite 2600 Toronto, ON M5H0B4, CAN DescriptionPosition 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...

An alternative investment firm is seeking a Compliance Officer to join their Global Regulatory and Compliance team. In this role, you will play a pivotal part in assisting with various regulatory activities both at the organizational level and for investment vehicles. This position will entail overseeing all regulatory and compliance matters for operations...

An alternative investment firm is seeking a Compliance Officer to join their Global Regulatory and Compliance team. In this role, you will play a pivotal part in assisting with various regulatory activities both at the organizational level and for investment vehicles. This position will entail overseeing all regulatory and compliance matters for operations...

An alternative investment firm is seeking a Compliance Officer to join their Global Regulatory and Compliance team. In this role, you will play a pivotal part in assisting with various regulatory activities both at the organizational level and for investment vehicles. This position will entail overseeing all regulatory and compliance matters for operations...

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...

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...

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...

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...

The Role:DBRS is currently seeking an interim Regional Compliance Officer for Canada. The Regional Compliance Officer - Canada, will be responsible for the implementation of the DBRS Morningstar Global Compliance Program within Canada. This is a position based in our offices in Toronto and reports to the Global Chief Compliance Officer ("CCO"). This is a...

At Enable, we believe rebates are the best way for companies within the supply chain to create, maintain and grow their trading relationships. Rebates allow trading partners to make the best decisions for their businesses, meaning everyone wins: manufacturers, distributors, retailers and, most importantly, end consumers.At Enable, we'recreating a healthy,...

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...

Company Overview:The Condominium Management Regulatory Authority of Ontario (CMRAO) began operations on November 1, 2017 to provide stronger consumer protection for Ontarians living and investing in condominiums. Through effective regulation, the CMRAO strengthens the condominium management profession and helps to protect consumers in Ontario's complex and...

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...

At Enable, we believe rebates are the best way for companies within the supply chain to create, maintain and grow their trading relationships.Rebates allow trading partners to make the best decisions for their businesses, meaning everyone wins: manufacturers, distributors, retailers and, most importantly, end consumers.At Enable, we're creating a healthy,...