Senior Financial and Operations Compliance Examiner

**Compliance Branch Examiner** - 2402795 - At Raymond James, _**_we _**_develop, _**_we _**_collaborate, _**_we _**_decide, _**_we _**_deliver, and _**_we _**_improve together_. Raymond James Ltd. is Canada’s leading independent investment dealers offering high quality investment products and services to Canadians seeking customized solutions to their...

Position Title:Senior Financial ExaminerDepartment:Financial ComplianceLocation: TorontoStatus:Permanent Full-time (Hybrid)The Senior Financial Examiner's primary responsibilities include financial examinations, financial filing reviews, reviewing audit working paper files, reviewing financial infor

**Position Title**:Financial Examiner** **Department: Financial Compliance** **Location: Toronto** **Status: Fixed-term, Full-time 9 months (Hybrid)** **Key Responsibilities**: - Perform Examinations: Conduct financial examinations of CIRO Members and review of auditor working paper files following CIRO standard procedures. - Review and Analyze...

**Position Title: Business Conduct Compliance Examiner** **Department: Business Conduct Compliance** **Location: Toronto** **Status: Fixed term, Full-time - 12 months (Hybrid)** **Day in the life of**: As a self-regulatory organization, Canadian Investment Regulatory Organization (CIRO) takes our responsibility of setting high-quality regulatory and...

Position Title: Senior Business Conduct Compliance Examiner (ID)Department:Business Conduct ComplianceLocation: TorontoStatus: Fixed term, Full-time - 12 months (Hybrid)Day in the life of:As a self-regulatory organization, Canadian Investment Regulatory Organization (CIRO) takes our responsibility o

**Position Title: Business Conduct Compliance Examiner (ID)** **Department: Business Conduct Compliance** **Location: Toronto** **Status: Permanent, Full-time (Hybrid)** As a self-regulatory organization, Canadian Investment Regulatory Organization (CIRO) takes our responsibility of setting high-quality regulatory and investment industry standards...

**Position Title**:Financial Examiner** **Department: Financial Compliance** **Location: Toronto** **Status: Permanent Full-time (Hybrid)** **Day in the life of**: **Core Responsibilities**: - Perform Examinations: Conduct financial examinations of CIRO Members and review of auditor working paper files following CIRO standard procedures. - Review and...

**Position Title**:VP, Financial and Operations Compliance** **Department**:Financial and Operations Compliance** **Location: Toronto** **Status**:Permanent Full-time (Hybrid)** Reporting to the Senior Vice-President, Member Regulation and Strategic Initiatives, the VP, Financial & Operations Compliance (FinOps) is responsible for the ongoing monitoring...

100 King Street West Toronto Ontario,M5X 1A1 Additional Job Description The Managing Director - Enterprise Compliance Testing (MD) leads and directs the second line compliance testing function, with an enterprise mandate for BMO Financial Group across all jurisdictions and legal entities that BMO operates. The MD leads a global team responsible for...

**Work Location**: Canada **Hours**: 37.5 **Line of Business**: Governance & Control **Pay Details**: **ABOUT TD WEALTH** **TD Wealth offers a full range of competitive wealth and asset management solutions to retail and institutional clients. We help individual and institutional clients protect, grow and successfully transition their wealth. There are...

**What are we looking for?** We are looking for a Financial Compliance Officer to provide expert accounting and financial advice in support of compliance issues through the financial analysis of accounting methods and procedures. This role will report directly to the Manager, Financial Compliance. Preference will be given to individuals who have experience...

Education: Bachelor's degree - Experience: 2 years to less than 3 years **Work setting**: - Brokerage house **Tasks**: - Identify clients' financial goals and objectives - Monitor client investments - Analyze clients' financial records - Make recommendations concerning cash management, insurance coverage, investment planning, retirement and estate...

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.  JOB...

CI Financial is seeking a Senior Compliance Officer to join its Compliance team. The successful candidate will be responsible for fostering a culture of compliance within the organization, ensuring adherence to securities industry rules and regulations.About CI FinancialWe are a leading financial services company with a strong commitment to excellence. Our...

**Employer details** **VELOCITY TRADE CAPITAL LTD** Job details - Location Toronto, ONM5C 2W1 - Workplace information On site - Salary37.00 hourly / 35 hours per Week - Terms of employment Permanent employmentFull time - Day - Start date Starts as soon as possible - Benefits: Health benefits, Financial benefits, Other benefits - vacancies1...

**Requirements** **Tasks** - Identify clients' financial goals and objectives - Monitor client investments - Analyze clients' financial records - Make recommendations concerning cash management, insurance coverage, investment planning, retirement and estate planning - Arrange for sale of financial products and investments - Review and examine financial...

100 King Street West Toronto Ontario,M5X 1A1 Supports the business/group leader in the effective implementation, maintenance and administration of first line of defense (1st LOD) programs for QI, FATCA and CRS International Taxation Regimes, including overseeing business operations within the jurisdiction to ensure adherence and efficiency. Contributes to a...

Are you a detail-oriented accounting professional looking for a new challenge? We have an exciting opportunity for a Senior Financial Compliance Specialist to join our client, a successful investment management firm in downtown Toronto.About the RoleWe are seeking a highly skilled and experienced Senior Financial Compliance Specialist to support the growth...

Compliance Leadership Role in Financial SalesWe are seeking a seasoned professional to join our team as a Strategic Compliance Director for Financial Sales. This is an exciting opportunity to lead and oversee the firm's compliance with rules and regulations related to sales and marketing communications.The successful candidate will be responsible for...

JOB 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...