Branch Review Compliance Officer

Job Description At Investia, compliance is a strategic lever, not a checklist. You’re an experienced auditor who thrives on autonomy, embraces responsibility, and loves to coach others to excel. You see compliance as an opportunity to build trust, set high standards, and help colleagues grow. You’ll operate with real autonomy, strong ownership, and a...

Job DescriptionWho you areAt Investia, compliance is a strategic lever, not a checklist. You're an experienced auditor who thrives on autonomy, embraces responsibility, and loves to coach others to excel. You see compliance as an opportunity to build trust, set high standards, and help colleagues grow. You'll operate with real autonomy, strong ownership, and...

What is the opportunity?The Compliance Manager is responsible for executing and leading reviews of RBC Wealth Management locations with the objective of evaluating the effectiveness of regulatory & internal policies, operational controls, and regulatory compliance monitoring.What will you do?Plan and execute comprehensive compliance and internal control...

Job DescriptionWho you areAt Investia, compliance is a strategic lever, not a checklist. You see compliance as an opportunity to build trust, set high standards, and help colleagues grow.

Job DescriptionWho you areAt Investia, compliance is a strategic lever, not a checklist. You see compliance as an opportunity to build trust, set high standards, and help colleagues grow.

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...

**Aviso Wealth**: **The Opportunity**: We’re looking for a Compliance Officer to join our Compliance team. Reporting to the Senior Manager, Branch Examination, the Compliance Officer is responsible for conducting onsite and/or remote branch and sub-branch examinations of CIRO dealer business locations. As this is a hybrid role, work will be performed from...

Join Us as a Branch Compliance Auditor, Shape the Future of Our FirmLocation:Western Canada (Vancouver or Victoria preferred)Start Date:As soon as you're ready to make an impactType:Full‑time, PermanentWho you areAt Investia, compliance is a strategic lever, not a checklist. You're an experienced auditor who thrives on autonomy, embraces responsibility,...

Who we are:Harbourfront Wealth is a dynamic industry leader specializing in financial services and wealth management. We are a fast-growing wealth management firm with over $14 billion in assets under administration, comprised of five integrated entities: CIRO dealer, investment counsel, asset manager, U.S. Registered Investment Advisor (RIA) and insurance...

Join to apply for the Compliance Officer role at Raymond James Ltd. At Raymond James, we develop, we collaborate, we decide, we deliver, and we improve together. Raymond James Ltd. is Canada’s leading independent investment dealer offering high quality investment products and services to Canadians seeking customized solutions to their wealth management...