Compliance Lead: Complaints

A financial services firm is seeking a Compliance Manager for Complaints & Investigations in Toronto, Ontario. In this role, you will oversee compliance operations while managing a team dedicated to handling client complaints and ensuring regulatory adherence. The ideal candidate will possess significant experience in the financial services sector,...

A financial services firm is seeking a Compliance Manager for Complaints & Investigations in Toronto, Ontario. In this role, you will oversee compliance operations while managing a team dedicated to handling client complaints and ensuring regulatory adherence. The ideal candidate will possess significant experience in the financial services sector,...

CI Financial is an independent company offering global wealth management and asset management advisory services through a diverse group of financial services firms. Since 1965, we have consistently anticipated and responded to the changing needs of investors. We are driven by a commitment to provide individuals and institutions with the highest-quality...

Job Description ResponsibilitiesLeadership & OversightManage the client complaint handling and agent investigations team, ensuring adherence to regulatory and internal compliance standards.Oversee end-to-end complaint handling process, including intake, investigation, resolution and reporting.Supervise investigations into agent conduct, including sales...

Compliance Manager - Complaints & InvestigationsJoin to apply for the Compliance Manager - Complaints & Investigations role at Transamerica.Job SummaryOversee day-to-day operations of the World Financial Group Canada compliance program, including compliance processes, regulatory examinations, compliance audits, Tier 2 supervision, and compliant...

Compliance Manager - Complaints & Investigations Join to apply for the Compliance Manager - Complaints & Investigations role at Transamerica . Job Summary Oversee day-to-day operations of the World Financial Group Canada compliance program, including compliance processes, regulatory examinations, compliance audits, Tier 2 supervision, and compliant handling....

**What is your opportunity?** As a Compliance Manger, you will be a member of the Regulatory Complaint, Investigation & Inquiries (RCII) team that supports Royal Mutual Funds Inc. (RMFI), RBC Dominion Securities (RBC DS) and other RBC registered firms. You will primarily be responsible for complaint management and investigation related to RMFI regulatory...

You are as unique as your background, experience and point of view. Here, you’ll be encouraged, empowered and challenged to be your best self. You'll work with dynamic colleagues - experts in their fields - who are eager to share their knowledge with you. Your leaders will inspire and help you reach your potential and soar to new heights. Every day, you'll...

Compliance Officer, Complaints and Regulatory Investigations Join to apply for the Compliance Officer, Complaints and Regulatory Investigations role at CI Financial 1 week ago Be among the first 25 applicants 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...

**Employment Status**: Permanent Full-Time **Location**: Toronto, ON **Department**: Risk and compliance **Reporting To**: Sr Manager, Regulatory Services **Job Id**: CPL - 076 **Job Level**: L3 **Seniority Level**: Associate **Position Overview**: This individual will be a key member of the Complaints & Investigations team at Richardson Wealth,...