![CI Financial](https://media.trabajo.org/img/noimg.jpg)
Compliance Manager
4 weeks ago
JOB OVERVIEW
This is a 12 month-contract role within the CI Global Asset Management (CI GAM)’s Compliance Team and will assist the Vice President, Compliance in developing, enhancing, and maintaining CI GAM’s Compliance programs. In this role, the successful candidate is expected to contribute to the day-to-day management of compliance programs and related processes including regulatory filings, participate in various ad hoc projects, and support senior members of the Compliance team in administrative and project-related tasks.
WHAT YOU WILL DO
- Create and document new processes and procedures for new compliance initiatives and controls, ensuring applicable securities laws and regulations are adhered to.
- Maintain policy and procedures documents to reflect new or changing regulatory/ industry standards or corporate developments as required.
- Apply policies and regulatory rules appropriately to respond to compliance related inquiries from business units.
- Coordinate directly with wide range of stakeholders across the organization to gather information and resolve issues, as required.
- Review and analyze data gathered from various sources, identify issues and trends, and produce summary report for senior management.
- Manage day-to-day operation of various compliance programs and related processes.
- Assist in the development of management reporting, including the development and reporting of KPIs and Metrics based existing data and designing systems to collect data.
- Review and investigate potential and/or actual compliance issues as they arise and escalating issues in alignment with standardized processes and procedures.
- Assess various investment strategies for adherence to applicable investment fund rules and regulations.
- Ensure regulatory filings, reporting and compliance deadlines are met including responses to information requests.
- Advise on compliance matters and support continuous training and education to the business.
- Participate and assist in ad hoc projects, as needed.
WHAT YOU WILL BRING
- Post-secondary education
- Completion or progress toward industry related designations such as CFA, CPA or CSC is considered an asset
- In depth knowledge of the financial industry including investment fund regulations and applicable National Instruments (e.g. NI 31-103, NI 81-102); and
- Minimum of 5 years of relevant industry experience in a senior compliance capacity at an investment management firm.
- Strong communication skills, verbal and written.
- Superior and versatile analytical skills, capable of advising across a range of compliance matters.
- Strong technical skills including MS Office, experience with MS Excel is a must.
- Ability to multi-task and work effectively and efficiently in a fast-paced, frequently changing environment.
-
Compliance Manager
3 weeks ago
Toronto, Ontario, Ontario, Canada NSUS Group Full timeWho are we?Home of world Champion Daniel Negreanu, Winner of the best poker software 2021 and Guinness record holder for largest-ever online prize pool, GGPoker has taken the online poker world by storm. GGPoker launched in 2017, designed from the ground up by an experienced team of poker players who truly love the game.From our humble beginnings, GGPoker...
-
Compliance Analyst
3 days ago
Toronto, Ontario, Ontario, Canada Optimize Wealth Management Full timeCompany DescriptionOptimize Wealth Management is a premier financial advisory firm that provides personalized financial solutions and advice to help clients achieve their financial goals. Our financial services and solutions cover everything from financial planning and portfolio management to tax preparation, debt management, and estate planning. We pride...
-
Compliance Manager
15 hours ago
Toronto, Ontario, Canada Bank of Montreal Full timeJob Summary:We are seeking a highly skilled Compliance Manager to join our team at the Bank of Montreal. As a key member of our compliance team, you will be responsible for executing first-line compliance monitoring, reporting, and control execution.Key Responsibilities:Manage and support large and complex compliance programs, frameworks, and projects to...
-
Chief Compliance Officer
5 days ago
Toronto, Ontario, Ontario, Canada Optimize Wealth Management Full timeCompany DescriptionOptimize Financial Group is in the process of establishing a CIRO Dealer, separate from Optimize Wealth Management, to further help individual clients achieve their financial goals. Our CIRO Dealer will offer personalized financial solutions covering financial planning, portfolio management, tax preparation, debt management, and estate...
-
Chief Compliance Officer
3 days ago
Toronto, Ontario, Ontario, Canada Optimize Wealth Management Full timeCompany DescriptionOptimize offers personalized financial solutions covering financial planning, portfolio management, tax preparation, debt management, and estate planning. Our holistic approach, independence, and personalized service set us apart in the industry, prioritizing honesty, persistence, teamwork, and excellence. Optimize Financial Group is in...
-
Chief Compliance Officer
3 weeks ago
Toronto, Ontario, Ontario, Canada Angular Directions Full timeWe are working alongside Cassiopay to help them find a Chief Compliance Officer. Cassiopay, a growing international e-wallet and payment services provider, is looking for a Chief Compliance Officer for its Canadian office, based in Toronto, to provide effective leadership and continued development to ensure its business processes and procedures adhere to all...
-
Senior Compliance Officer
3 months ago
Toronto, Ontario, Ontario, Canada CI Financial Full timeJOB OVERVIEWWe are currently seeking a Senior Compliance Officer, CI Wealth Compliance. In this role, the successful candidate is expected to encourage and foster a culture of compliance within the organization in accordance with securities industry rules and regulations. The incumbent will be responsible for assisting Compliance management with policy and...
-
Senior Manager- Safety and Compliance
4 weeks ago
Toronto, Ontario, C6A, Ontario, Canada Railway Suppliers Full timeCad Rail Industries Ltd was founded in 1968 headquartered in Montreal. We take pride on being North America’s leader of full-service solutions in the freight, passenger and commuter rail industries in Canada, the United States and offshore. Cad Rail has other facilities in Calgary, Lethbridge (under Caltrax banner) and has recently been selected by the...
-
Compliance Manager
14 hours ago
Old Toronto, Ontario, Canada Corpay Full timeJob DescriptionCorpay is seeking a highly skilled Senior Compliance Analyst to join our Legal Compliance division. This role will be responsible for assisting with policy development, offering advisory services, leading employee training, and assisting with external audits and examinations.Key ResponsibilitiesPolicy Management and GovernanceDevelop and...
-
Compliance Officer, Complaints
3 weeks ago
Toronto, Ontario, Ontario, Canada CI Financial Full timeJOB OVERVIEWThe Compliance Officer, Complaints will ensure all assigned complaints, internally identified concerns, internal or regulatory investigations, and privacy incidents (“Reportable Matters”) are handled in a fair, transparent, objective, and factual manner in accordance with the Complaints and Regulatory Investigation (“CRI”) Team policy and...
-
Compliance Testing Manager
3 weeks ago
Toronto, Ontario, Canada Royal Bank of Canada Full timeJob OverviewPosition Summary: The Compliance Testing Manager plays a crucial role within the Compliance Shared Services team, providing essential support to the local Chief Compliance Officers. This position is vital in ensuring adherence to the regulatory obligations outlined in the RBC Regulatory Compliance Management Framework.Key Responsibilities:Support...
-
Compliance Manager, Wealth Management
3 weeks ago
Toronto, Ontario, Canada Bank of Montreal Full timeCompliance Manager, Wealth ManagementThis position is responsible for providing guidance and regulatory compliance expertise to the Wealth Management sector. The individual in this role interprets regulatory frameworks and offers advice on how these regulations apply to business operations and internal controls. This person serves as the primary subject...
-
Manager, Business Compliance
22 hours ago
Toronto, Ontario, Canada BMO Full timeJob Title: Compliance Specialist Company: BMO Financial Group About the Role: This is an exciting opportunity to join our team as a Compliance Specialist, where you will play a critical role in ensuring the company's compliance with regulatory requirements and industry standards. As a key member of our compliance team, you will be responsible for executing...
-
Business Compliance Manager
3 weeks ago
Toronto, Ontario, Canada Bank of Montreal Full timeManager of Compliance OversightKey Responsibilities: Implement compliance oversight, reporting, and governance activities Lead and facilitate extensive and intricate compliance initiatives and programs Ensure that compliance-related risks are effectively addressed and managedRequired Qualifications: Bachelor's degree in Business Administration or a related...
-
Wealth Management Compliance Manager
3 weeks ago
Toronto, Ontario, Canada Bank of Montreal Full timeRegulatory Compliance Specialist - Wealth Management SectorThis position focuses on delivering expert advice regarding regulatory compliance within the Wealth Management sector. The core responsibilities encompass the interpretation of regulations, providing counsel on compliance obligations, and ensuring that all compliance standards are met.Key...
-
Senior Compliance Manager
3 weeks ago
Toronto, Ontario, Canada Royal Bank of Canada Full timePosition OverviewAs a Senior Compliance Manager, you will play a pivotal role within the RBC Capital Markets Compliance Advisory Team. Key ResponsibilitiesThe Compliance Advisory Team is tasked with the development and execution of compliance frameworks and protocols across RBC's Global Markets divisions in Canada. Your contributions will be essential in...
-
Senior Compliance Manager
4 weeks ago
Toronto, Ontario, Canada Visa Full timeCompany DescriptionVisa is a world leader in payments and technology, with over 259 billion payments transactions flowing safely between consumers, merchants, financial institutions, and government entities in more than 200 countries and territories each year. Our mission is to connect the world through the most innovative, convenient, reliable, and secure...
-
Senior Manager Compliance
6 days ago
Toronto, Ontario, Canada BMO Full timeJob SummaryWe are seeking a highly skilled and experienced Senior Manager Compliance to join our team at BMO. As a key member of our Compliance department, you will play a critical role in ensuring that our business operations are in compliance with regulatory requirements and industry standards.Key ResponsibilitiesAssist in the implementation, maintenance,...
-
Compliance Manager, Wealth Management
3 weeks ago
Toronto, Ontario, Canada Bank of Montreal Full timePosition Overview:This role is pivotal in delivering regulatory compliance guidance and strategic direction to the Wealth Management divisions. The incumbent will be responsible for interpreting relevant regulations and offering insights on their application within the business context.Key Responsibilities:1. Provide expert regulatory compliance advice to...
-
Global Compliance Manager
14 hours ago
Toronto, Ontario, Canada Scotiabank Full timeAbout ScotiabankScotiabank is a leading financial institution committed to delivering exceptional customer experiences and driving business growth through innovation and strategic partnerships.Job SummaryWe are seeking a highly skilled Global Compliance Manager to join our Global Compliance & AML team. As a key member of this team, you will play a critical...