Business Conduct Compliance Examiner

**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: 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: Trading Conduct Compliance Examiner **(ID)** **Department: Trading Conduct Compliance** **Region: Toronto** **Status: Permanent Full-time (Hybrid)** Examine Dealer Members’ processes, procedures and supervision for their compliance with trading related Requirements as defined in the Universal Market Integrity Rules (UMIR) and the...

**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**:Director, Trading Conduct Compliance** **Department: Human Resources and Organizational Effectiveness** **Location: Toronto** **Status: Permanent Full-time (Hybrid)** The Director of Trading Conduct Compliance (TCC) will lead our Toronto team, and in collaboration with other regional directors, lead the national TCC program in ensuring...

**Aviso Wealth**: **The Opportunity**: We’re looking for a Compliance Officer to join our Compliance team. This can be a remote role, however for those who would like to come into the office we are at 151 Yonge St, Toronto, ON. Reporting to the Manager, Branch Examination, the Compliance Officer is responsible for conducting onsite and/or remote branch...

Trade Conduct Compliance/Telework or Hybrid /Quebec City, Montreal or Toronto/Permanent/Desired start date: As soon as possible_ Are you passionate about the financial markets and pride yourself on meticulous attention to detail? iA Private Wealth needs you to help support their mission and ensure that trading practices uphold the highest standards of...

**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...

**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: Compliance Officer (MFD)** **Department: Business Conduct Compliance** **Region: Toronto** **Status: 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...

Position Title:Senior Financial and Operations Compliance Examiner (ID)Department:Financial and Operations ComplianceLocation: TorontoStatus:Permanent Full-time (Hybrid)The Senior Examiner is accountable for analyzing and independently verifying the accuracy and completeness of the submitted informa

**Overview** We are seeking a Compliance Officer to join the Purves Redmond Limited team. In this role, you will act as a trusted advisor to colleagues and senior leadership on a wide range of risk and compliance matters. You will play a critical role in ensuring adherence to insurance legislation and promoting a culture of compliance across the...

100 King Street West Toronto Ontario,M5X 1A1 **Mandate**: As a member of the Wealth Monitoring & Testing Team, the Manager, Business Compliance Monitoring & Testing, Canada Wealth Management carries responsibility for delivering on components of the first line monitoring and testing plans for Wealth LOB’ in accordance with the Enterprise Compliance...

We’re building a relationship-oriented bank for the modern world. We need talented, passionate professionals who are dedicated to doing what’s right for our clients. At CIBC, we embrace your strengths and your ambitions, so you are empowered at work. Our team members have what they need to make a meaningful impact and are truly valued for who they are...

**About Securian Canada** **Who we are - and who we’re here for** We’re here for all Canadians and their families - however they define family. Our practical, life-ready insurance and protection solutions are designed to help provide financial security, so that Canadians can spend more time making every moment count. For more than 65 years, we’ve...

**Company Bio** Legal Aid Ontario employees are committed to making a difference in the lives of our clients. As an integral partner in the Justice system, working at Legal Aid Ontario is more than just a job. It's an opportunity to help people who need it the most; to ensure each client receives the access to justice afforded to them under the law. If...

OverviewWe are seeking a skilled Compliance Specialist to support our client in the insurance industry by working on their Market Conduct Audit (MCA) program. This opportunity allows you to engage with multiple distribution channels, enhance compliance expertise, and contribute to a significant regulatory project.

**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: Compliance Officer** **Department: Business Conduct Compliance** **Region: Toronto** **Status: Permanent Full-time (Hybrid)** **Day in the life of**: 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...