Compliance Officer

2 weeks ago

Toronto, Canada Coinsquare Full time

**About the Role**:
The Compliance Officer (“CO”) contributes to the overall performance of the Regulatory Compliance Department within Coinsquare Capital Markets Limited (“CCML”). CCML is registered across Canada as an investment dealer and is a dealer and marketplace member of the New Self Regulatory Organization of Canada (“New SRO”). CCML is looking to add to its Compliance Department a motivated and energetic CO who is interested in contributing to the compliant growth of Canada’s first native digital asset investment dealer and New SRO member. Activities are focused on specific regulatory oversight goals, plans, initiatives to be executed in accordance with the team’s business strategies and objectives. Ensures all activities are in compliance with governing rules and regulations as well as internal policies and procedures. The CO reports to CCML’s Chief Compliance Officer and is responsible for carrying out various compliance and oversight activities as assigned by the CCO in accordance with regulatory requirements as well as internal policies and procedures. In this role you will:

- Use tools and systems to monitor CCML’s global communications and communications of its employees and front office staff to demonstrate compliance with New SRO rules, related regulations and internal policies regarding advertising, sales literature or correspondence;
- Review fair pricing compliance Record daily entries for previous day’s trade executions where the benchmark quote used for the client execution is inferior to the quote at that time on the CCML's ATS. Coordinate with CCML's Customer Support team to compensate users where required;
- Review spread compliance: Responsible to review, investigate, and retain documentation for any OTC Desk and CS Trade transactions where the executed price with the client is 250 bps away from the benchmark price at the time of the transaction. Coordinate with CCML's Customer Support team to compensate users where required;
- Demarket liquidation requests - liquidation of client funds for closed accounts;
- Respond to and oversee tracking of client data erasure requests: Coordinate data erasure requests with CCML's Customer Support team to remove clients from the marketing list in accordance with New SRO and Canadian Privacy law requirements;
- Oversee client limits notifications: Monitor clients limits notifications activity in compliance with CCML’s regulatory approvals to identify abnormal patterns of communication sent to users;
- Maintain access to National Registration Database (NRD) in respect of licensing of new registrants and general registration activities of CCML;
- Review new / opened CCML accounts daily: Sample and review client accounts opened T+1 to confirm automated process effectiveness;
- Conduct trade surveillance and monitoring of transactions initiated by CCML employees, clients and/or traders, including OTC and any product(s) that are offered, for potential insider dealing or market manipulation;
- Support Compliance with administrative functions related to regulatory and CCML's internal compliance program requirements, including other ad hoc assigned duties as required;
- Focus on developing a high level of understanding of the digital asset products, markets, systems, regulations and personnel necessary to adjudicate alerts in the sectors the CO is responsible for supporting. Ongoing learning and training is critical to this effort; and
- Perform other duties to support the firm’s compliance infrastructure as required.

**About You**:
- Good understanding of one, or both, of exchange traded and OTC markets and the various products within these categories. This includes knowledge of hedging and other trading strategies;- Experience and knowledge of crypto assets and crypto-asset trading platforms operations is preferable but not mandatory;- Post-Secondary education and/or professional designations;- Recommended to have completed the Canadian Securities Course, Conduct and Practices Handbook Course, and/or the Trader Training Course, or willingness to do so;- Minimum of 2 years of related experience at a financial institution and/or regulated securities dealer;- Able to work independently and with other staff across functional lines within CCML;- Good knowledge of New SRO regulatory and compliance requirements;- Identify external market activity, news and additional factors that may influence trading activities;- An understanding of New SRO dealer rules and Universal Market Integrity Rules (UMIR), as well as a general understanding of the Canadian provincial securities regulatory framework and that of other relevant regulatory bodies; and- Excellent oral and written communication skills.

**About Coinsquare**

Coinsquare is Canada’s leading and most secure digital asset trading platform for trading Bitcoin, Ethereum, Litecoin and other digital currencies.

We built the most secure trading platform, and since our founding in 201

  • Compliance Officer

    9 hours ago

    Toronto, Canada CIRO Full time

    **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...

  • Compliance Officer

    5 days ago

    Toronto, Canada Swiss RE Full time

    **About** **the** **Role**: We are looking for a highly motivated individual to be the Compliance Officer for Swiss Re Corporate Solutions America Insurance Corporation (SRCSAIC), Canadian branch based in Toronto. In this position, you will be the appointed Compliance Officer for the purposes of Regulatory Compliance Management Guideline E-13 (Office of the...

  • Compliance Officer

    6 days ago

    Toronto, Canada Aviso Wealth Full time

    **Aviso Wealth**: **The Opportunity**: We’re looking for a Compliance Officer to join our Compliance team. This role can be mostly remote, however we will on occasion require you to come onsite to our office at 151 Yonge St, Toronto, ON. Reporting to the Manager, Branch Examination, the Branch Examiner is responsible for conducting onsite and/or remote...

  • Compliance Officer, Corporate Compliance

    5 days ago

    Toronto, Canada Aviso Wealth Full time

    **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 Director Corporate Compliance, the Compliance Officer is primarily responsible for day-to-day compliance...

  • Compliance Officer

    8 hours ago

    Toronto, Canada CIBC Full time

    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...

  • Compliance Analyst/Officer

    2 weeks ago

    Toronto, Canada CB Canada Full time

    Compliance Analyst/Officer On behalf of our client in the Banking Sector, PROCOM is looking for a Compliance Analyst/Officer. Compliance Analyst/Officer – Job Description The Global Compliance Department is responsible for overseeing Regulatory Compliance across enterprise in accordance with the Global Compliance Framework This includes ensuring that...

  • Business Compliance Officer

    2 weeks ago

    Toronto, Canada PC Financial Full time

    **All referred applicants must first be submitted through Workday by a current Loblaw Colleague.** **Location**: 500 Lakeshore Blvd. West, Toronto, Ontario, M5V 2V9 **When you hire great people, great things can happen.** PC Financial offers unprecedented value to Canadians through payment products. We’re a different kind of bank with a different type...

  • Business Compliance Officer

    3 days ago

    Toronto, Canada President's Choice Financial Full time

    Les candidatsréférésne doivent pas postuler directement pour ce poste. Toutes lesréférencesde candidats doivent d’abord être soumises dans Workday par un collègue de Loblaw actuel. Emplacement: 500 Lakeshore Blvd. West, Toronto, Ontario, M5V 2V9 Lorsque vous embauchez des gens formidables, de grandes choses peuvent arriver. PC...

  • Compliance Officer

    6 days ago

    Toronto, Canada Financial Services Regulatory Authority of Ontario (FSRA) Full time

    FSRA is guided by our vision of financial safety, fairness and choice for Ontarians. We achieve this by public service through dynamic, principles-based and outcomes-focused regulation. FSRA is committed to attracting and retaining exceptional people who bring energy, expertise, and experience. This includes providing a comprehensive total rewards package...

  • Chief Compliance Officer

    2 weeks ago

    Toronto, Ontario, Canada Nest Wealth Full time

    We're building our Nest Where you'll be: Working remotely, anywhere in Canada (in EST)Your Role: Chief Compliance OfficerReporting to: Randy Cass, CEOWho We Are:Founded in 2014, Nest Wealth created Canada's first SaaS-based digital wealth management platform to ensure investors have access to sophisticated, personalized, and transparent wealth management...

  • Environmental Compliance Officer

    2 days ago

    Toronto, Canada Bantrel Co. Full time

    Company Description Bantrel is proud to be a leading provider of Engineering, Procurement, and Construction (EPC) services in Canada. Since our inception in 1983, we have delivered end-to-end solutions for some of Canada’s most challenging and complex energy, mining and infrastructure projects, with an unrelenting focus on safety, while delivering to the...

  • Compliance Officer

    7 days ago

    Toronto, Canada Queensbury Securities Inc Full time

    Duties: Review daily trading activity; support advisors on compliance, policy and product knowledge; Conduct Advisor audits (travel required); work with compliance department in all areas of CIRO(formerly IIROC) compliance as assigned. **Job Types**: Full-time, Permanent **Salary**: $55,849.00-$75,017.00 per year **Benefits**: - Disability insurance -...

  • Senior Compliance Officer

    2 weeks ago

    Toronto, ON, Canada Canadian Investment Regulatory Organization Full time

    40 Temperance Street Suite 2600 Toronto, ON M5H0B4, CAN Description Position Title: Senior Compliance Officer (MFD) Department:Business Conduct Compliance Location: Toronto Status:Permanent Full-time (Hybrid) As a self-regulatory organization, Canadian Investment Regulatory Organization (CIRO) takes responsibility for setting high-quality...

  • Senior Compliance Officer

    2 weeks ago

    Old Toronto, Canada Canadian Investment Regulatory Organization Full time

    40 Temperance Street Suite 2600 Toronto, ON M5H0B4, CAN DescriptionPosition Title: Senior Compliance Officer (MFD)Department:Business Conduct ComplianceLocation: TorontoStatus:Permanent Full-time (Hybrid) As a self-regulatory organization, Canadian Investment Regulatory Organization (CIRO) takes responsibility for setting high-quality regulatory...

  • Senior Compliance Officer

    3 weeks ago

    Old Toronto, Canada Canadian Investment Regulatory Organization Full time

    40 Temperance Street Suite 2600 Toronto, ON M5H0B4, CAN DescriptionPosition Title: Senior Compliance Officer (MFD)Department:Business Conduct ComplianceLocation: TorontoStatus:Permanent Full-time (Hybrid) As a self-regulatory organization, Canadian Investment Regulatory Organization (CIRO) takes responsibility for setting high-quality regulatory...

  • Senior Compliance Officer

    2 weeks ago

    Old Toronto, Canada Canadian Investment Regulatory Organization Full time

    40 Temperance Street Suite 2600 Toronto, ON M5H0B4, CAN DescriptionPosition Title: Senior Compliance Officer (MFD)Department:Business Conduct ComplianceLocation: TorontoStatus:Permanent Full-time (Hybrid) As a self-regulatory organization, Canadian Investment Regulatory Organization (CIRO) takes responsibility for setting high-quality regulatory...

  • Environmental Compliance Officer

    9 hours ago

    Toronto, Canada Bechtel Full time

    **Requisition ID: 275846** - ** Relocation Authorized: None**: - ** Telework Type: Full-Time Office/Project**: - ** Work Location: Toronto, ON** Since 1898, we have helped customers complete more than 25,000 projects in 160 countries on all seven continents that have created jobs, grown economies, improved the resiliency of the world's infrastructure,...

  • Counsel and Chief Compliance Officer

    3 days ago

    Toronto, Canada Bridgehouse Full time

    As 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,...

  • Compliance Officer

    2 days ago

    Toronto, Canada CMRAO Full time

    **Company Overview**: The Condominium Management Regulatory Authority of Ontario (CMRAO) began operations on November 1, 2017 to provide stronger consumer protection for Ontarians living and investing in condominiums. Through effective regulation, the CMRAO strengthens the condominium management profession and helps to protect consumers in Ontario’s...

  • Compliance Officer

    3 days ago

    Toronto, Canada Financial Services Regulatory Authority of Ontario (FSRA) Full time

    At FSRA, our vision is to ensure financial safety, fairness, and choice for Ontarians. As a financial services regulator, we’re passionate about protecting consumers. Our principles-based approach means we can quickly and effectively respond to the changing needs of consumers and the industry. Our team combines industry expertise with commitment to public...