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Chief Compliance Officer, Mutual Fund Dealer
2 weeks ago
Application Deadline: 06/14/2024 Address: 100 King Street West Job Family Group: Audit, Risk & Compliance Assists in the implementation, maintenance and administration of BMO's Mutual Fund Dealer second line compliance program. Coordinates and performs risk assessment, monitoring, testing and sur
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Old Toronto, Ontario, Canada Scotiabank Full timeRequisition ID: 199060Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. Reporting to the Director, Chief Compliance Officer, Scotia Securities Inc. (SSI) Compliance, the Senior Manager, Mutual Fund Dealer Compliance is responsible for overseeing and supporting the Mutual Fund Dealer Compliance Head Office...
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Toronto, Ontario, Canada Scotiabank Full timeReporting to the Director, Chief Compliance Officer, Scotia Securities Inc. (SSI) Compliance, the Senior Manager, Mutual Fund Dealer Compliance is responsible for overseeing and supporting the Mutual Fund Dealer Compliance Head Office Review Program by ensuring that the Program remains in compliance with relevant laws, regulations and SRO policies applicable...
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Senior Manager, Mutual Fund Dealer Compliance
4 weeks ago
Old Toronto, Canada Scotiabank Full timeRequisition ID: 199060Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. Reporting to the Director, Chief Compliance Officer, Scotia Securities Inc. (SSI) Compliance, the Senior Manager, Mutual Fund Dealer Compliance is responsible for overseeing and supporting the Mutual Fund Dealer Compliance Head Office...
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Senior Manager, Mutual Fund Dealer Compliance
4 weeks ago
Old Toronto, Canada Scotiabank Full timeRequisition ID: 199060Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. Reporting to the Director, Chief Compliance Officer, Scotia Securities Inc. (SSI) Compliance, the Senior Manager, Mutual Fund Dealer Compliance is responsible for overseeing and supporting the Mutual Fund Dealer Compliance Head Office...
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Senior Manager, Mutual Fund Dealer Compliance
4 weeks ago
Old Toronto, Canada Scotiabank Full timeRequisition ID: 199060Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. Reporting to the Director, Chief Compliance Officer, Scotia Securities Inc. (SSI) Compliance, the Senior Manager, Mutual Fund Dealer Compliance is responsible for overseeing and supporting the Mutual Fund Dealer Compliance Head Office...
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Senior Manager, Mutual Fund Dealer Compliance
4 weeks ago
Toronto, Canada Scotiabank Full timeRequisition ID: 199060 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. Reporting to the Director, Chief Compliance Officer, Scotia Securities Inc. (SSI) Compliance, the Senior Manager, Mutual Fund Dealer Compliance is responsible for overseeing and supporting the Mutual Fund Dealer Compliance...
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Compliance Officer
3 weeks ago
Toronto, Canada Scotiabank Full timeRequisition ID: 178998 Join 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...
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Counsel and Chief Compliance Officer
2 months ago
Toronto, Canada Bridgehouse Full timeAs 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,...
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Compliance Officer
5 days ago
Toronto, Ontario, Canada Scotiabank Full timeRequisition 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...
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Compliance Officer
2 months ago
Old Toronto, Canada Canadian Investment Regulatory Organization Full time40 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...
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Compliance Officer
2 months ago
Old Toronto, Canada Canadian Investment Regulatory Organization Full time40 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...
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Compliance Officer
5 days ago
Old Toronto, Ontario, Canada Canadian Investment Regulatory Organization Full time40 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...
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Compliance Officer
2 months ago
Old Toronto, Canada Canadian Investment Regulatory Organization Full time40 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...
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Compliance Officer
3 weeks ago
Old Toronto, Canada Canadian Investment Regulatory Organization Full time40 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...
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Compliance Officer
3 weeks ago
Old Toronto, Canada Canadian Investment Regulatory Organization Full time40 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...
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Mutual Fund Administrator
4 weeks ago
Old Toronto, Canada TEKsystems Full timeTEKsystems Mutual Fund Administrator in Toronto , Ontario Our client, a top bank in Canada is looking for a Mutual Fund Administrator.Job OverviewAddressing transfer rejects in real time and determining if validClearing and investigating aged issues related to internal mutual fund transfer activity within client accounts including daily tracking...
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Mutual Fund Administrator
4 weeks ago
Old Toronto, Canada TEKsystems Full timeTEKsystems Mutual Fund Administrator in Toronto , Ontario Our client, a top bank in Canada is looking for a Mutual Fund Administrator.Job OverviewAddressing transfer rejects in real time and determining if validClearing and investigating aged issues related to internal mutual fund transfer activity within client accounts including daily tracking...
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Mutual Fund Administrator
4 weeks ago
Old Toronto, Canada TEKsystems Full timeTEKsystems Mutual Fund Administrator in Toronto , Ontario Our client, a top bank in Canada is looking for a Mutual Fund Administrator.Job OverviewAddressing transfer rejects in real time and determining if validClearing and investigating aged issues related to internal mutual fund transfer activity within client accounts including daily tracking...
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Chief Compliance Officer
2 weeks ago
Toronto, Canada Admiral Markets Full timeAdmiral Markets Canada Limited ("Admirals Canada") is a registered investment dealer, Member of the Investment Industry Regulatory Organization of Canada (IIROC) and Canadian Investor Protection Fund (CIPF). We are a member of Admirals Group AS. The firm is an order-execution-only (OEO) dealer in "contracts for difference" and over-the-counter (OTC) foreign...
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Counsel and Chief Compliance Officer
5 days ago
Toronto, Ontario, Canada Bridgehouse Full timeAs 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,...