Compliance Officer, Surveillance

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 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...

Associate Compliance Officer, Trade Surveillance (1-year Contract) page is loaded Associate Compliance Officer, Trade Surveillance (1-year Contract) Apply locations Toronto, ON, CAN time type Full time posted on Posted 4 Days Ago job requisition id R App

Associate Compliance Officer, Trade Surveillance (1-year Contract) page is loaded Associate Compliance Officer, Trade Surveillance (1-year Contract) Apply locations Toronto, ON, CAN time type Full time posted on Posted 4 Days Ago job requisition id R Application Deadline:Audit, Risk & Compliance Note this is a 1-year contract opportunity. BMOII's Trade...

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...

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...

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...

Employment Status:Permanent Full-TimeLocation:Toronto, ONDepartment:Risk & ComplianceReporting To:Manager - Compliance Services and Advisor SupportJob Id:CPL - 084Job Level:L3Seniority Level:AssociatePosition Overview:The Compliance Advisor, Compliance Services and Advisor Support, is a resource for employees and other industry related professionals...

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...

Work Location:Toronto, Ontario, CanadaHours:37.5Line of Business:CompliancePay Details:Department Overview:The Compliance Department is responsible for identifying and preventing violations of regulatory requirements by both employees and clientsThis is accomplished by: Conducting cross monitoring and surveillance for cash and derivatives such as...

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...

Job SummaryWhat is the Opportunity?The Director, Compliance is a senior member of the Compliance team that supports RBC Global Asset Management (RBC GAM) in Canada, and assists in the management of the team, lead the team's compliance operations, including ensuring the team is able to execute its strategic objectives and initiatives, deliver its ongoing...