Manager, Business Conduct Compliance

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

Individually we are people, but together we are Aviva. Individually these are just words, but together they are our Values - Care, Commitment, Community, and Confidence. Customer is at the heart of everything we do at Aviva. To support this strategic priority, we are looking for a dynamic, customer-centric individual to join our Risk and Compliance...

**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...

Job DescriptionMarket Conduct and Sales Reviews (LIA’s, advisors and MGA’s):Collection of DocumentationFollow up and negotiation for missing documentation, as required.Tracking workflow and progress.Reviewing documentation per standardized compliance process to assess sales practices and other information against regulatory and Foresters/Canada...

40 Temperance Street Suite 2600 Toronto, ON M5H0B4, CAN DescriptionPosition Title: Director, Trading Conduct ComplianceDepartment: Human Resources and Organizational EffectivenessLocation: TorontoStatus: Permanent Full-time (Hybrid)The Director of Trading Conduct Compliance (TCC) will lead our Toronto team, and in collaboration with other...

40 Temperance Street Suite 2600 Toronto, ON M5H0B4, CAN Description 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...

40 Temperance Street Suite 2600 Toronto, ON M5H0B4, CAN DescriptionPosition Title: Director, Trading Conduct ComplianceDepartment: Human Resources and Organizational EffectivenessLocation: TorontoStatus: Permanent Full-time (Hybrid)The Director of Trading Conduct Compliance (TCC) will lead our Toronto team, and in collaboration with other...

40 Temperance Street Suite 2600 Toronto, ON M5H0B4, CAN DescriptionPosition Title: Director, Trading Conduct ComplianceDepartment: Human Resources and Organizational EffectivenessLocation: TorontoStatus: Permanent Full-time (Hybrid)The Director of Trading Conduct Compliance (TCC) will lead our Toronto team, and in collaboration with other...

**TD Description** Stay current and competitive. Carve out a career for yourself. Grow with us. **Department Overview** - Knowledge of relevant Canadian legislation, regulations and industry standards, as it applies to Privacy, banking, payments, wealth management and insurance - Experience in reviewing and assessing regulatory requirements - Ability to...

Questrade Financial Group (QFG) of Companies is committed to helping our customers become much more financially successful and secure. We are everything a traditional financial institution is not. At QFG, you will be constantly moving forward, bringing the future of fintech into existence. You will be a part of a collaborative team that cares deeply about...

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...

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...

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...

402650BR Anti-Money Laundering / Compliance & Regulatory Relations Toronto, ON March 20, 2023 Company Overview Department Overview The Global Compliance Department is responsible for overseeing Regulatory Compliance across TDBG in accordance with the Global Compliance Oversight Framework (GCOF). This includes ensuring that businesses are aware of the...

**TD Description** Stay current and competitive. Carve out a career for yourself. Grow with us. **Department Overview** - The Global Compliance Department is responsible for overseeing Regulatory Compliance across TDBG in accordance with the Global Compliance Department Mandate, Framework and Standards. This includes independently assessing the adequacy,...

411351BR Anti-Money Laundering / Compliance & Regulatory Relations Toronto, ON June 9, 2023 Company Overview Department Overview The Global Compliance Department is responsible for overseeing Regulatory Compliance across TDBG in accordance with the Global Compliance Department Mandate, Framework and Standards. This includes independently assessing the...

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 (e.g., operational risk, AML, compliance, regulatory, etc.), including overseeing business operations within the jurisdiction to ensure adherence and efficiency....

**Analyst, Compliance** **1 York | Toronto, ON** **Who We Are**: BentallGreenOak is a leading, global real estate investment management advisor and a globally-recognized provider of real estate services. BentallGreenOak serves the interests of more than 750 institutional clients with expertise in the asset management of office, industrial,...

About SHEIN SHEIN is a global fashion and lifestyle e-retailer committed to making the beauty of fashion accessible to all. We use on-demand manufacturing technology to connect suppliers to our supply chain, reducing inventory waste and enabling us to deliver a variety of affordable products to customers around the world. Founded in 2012, SHEIN works with...

403311BR Risk Management Toronto, ON March 17, 2023 Company Overview Department Overview The Global Compliance Department is responsible for overseeing Regulatory Compliance across TDBG in accordance with the Global Compliance Department Mandate, in execution of the Global Compliance Operating Framework (GCOF). This includes independently assessing the...