Senior Compliance Officer: Regulatory Oversight

Raymond James Ltd. is seeking a Senior Compliance Officer in Canada to monitor retail account activity, oversee discretionary portfolio programs, and ensure regulatory adherence across multiple programs. You will support the Compliance Help Desk and act as a senior advisor to branches and portfolio managers. Responsibilities include supervising trade...

Lead regulatory compliance oversight at BMO, applying consumer protection expertise and critical thinking within Canadian Personal & Business Banking. Support business partners independently.As a Senior Compliance Officer, you will support the Complaints, Channels & Sales Practices team. The role covers second-line advisory support, risk assessments,...

Position Title Business Conduct Compliance Examiner Department Business Conduct Compliance Location Toronto Employment Status Permanent Full‑Time (Hybrid) Overview As a key member of Business Conduct Compliance, the Examiner conducts field reviews of sales and business conduct activities of Dealer Member firm head office and business locations. The role...

QWealth Partnership is seeking a Compliance Analyst to join our growing Compliance Team in Canada. You will work with the Chief Compliance Officer to support the compliance program across the partnership and help ensure adherence to applicable regulations, policies, and legislation.You will assist with maintaining policies, conflicts inventory, and employee...

Apply regulatory compliance expertise to PEO’s CPD program, reviewing declarations, assessing exemptions, and supporting Ontario engineering practitioners.The Compliance Officer administers Continuing Professional Development compliance measures within PEO’s Regulatory Compliance group. Reporting to the Manager, Professional Development Initiatives, this...

Lead compliance advisory and second line oversight for TD Asset Management from Toronto, supporting regulatory controls across international jurisdictions. TD Wealth Compliance seeks a Senior Manager, Business Compliance Oversight reporting to senior compliance leaders. The role advises TDAM stakeholders, manages regulatory change, and addresses compliance...

Lead compliance advisory and second line oversight for TD Asset Management from Toronto, supporting regulatory controls across international jurisdictions.TD Wealth Compliance seeks a Senior Manager, Business Compliance Oversight reporting to senior compliance leaders. The role advises TDAM stakeholders, manages regulatory change, and addresses compliance...

Pursue a rewarding career as a Senior Compliance Auditor in a leading regulatory organization. Apply your accounting expertise and investigative skills to uphold professional conduct standards and protect the public. In this influential role, you will lead high-impact investigations, utilizing your CPA qualifications to assess complaints and analyze risk....

HomeEquity Bank is seeking a Regulatory Compliance Analyst to support the end-to-end compliance management program. You will assist in implementing key frameworks, tracking regulatory changes, and providing testing insights to ensure regulatory expectations are met. The role collaborates with business units and risk functions to strengthen the bank's...