Compliance Officer

6 months ago

Toronto, Canada iA Groupe financier iA Financial Group Full time

**Purpose of Job**

The Compliance Officer will establish and nurture strong professional relationships with Branch Manager and Portfolio Manager teams, ensuring strict adherence to regulatory and firm compliance standards and serving as a key point of contact and collaboration. It involves meeting daily regulatory obligations. Responding to queries received from our business partners, ensuring effective communication and resolution. Additionally, this role includes actively participating in ad hoc projects.

**Reporting Relationships**

Reports to: Director, Managed Accounts & Tier 2 Supervision

**Key Responsibilities**:

- Reviewing and analyzing daily Tier 2 transactions and non-transaction operations
- Review New Account Documentation Forms for the Managed Program e.g. Investment Policy Statement and Managed Account Agreement
- Advising branch managers when updates are required or documents are missing
- Providing compliance support to Branch Managers & other business divisions
- Reviewing Sales Communications for PM teams
- Participating in various supervision related tasks and assisting the Managed Accounts Supervisor or the Director in ad hoc projects
- Keeping abreast of changes in regulatory requirements and industry updates from relevant regulatory bodies to ensure that the organization is consistently compliant
- Fostering a culture of compliance within the organization, working closely with internal teams to promote awareness and understanding of compliance standards for retail accounts
- Providing training and on-going assistance to new hired Compliance Officers

**Education/Work Experience/Designations**
- 2-3 years or more directly relevant investment industry experience with a CIRO member firm, preferably within a compliance related role
- The Canadian Securities Course, Conduct & Practices Handbook Course, Investment Dealer Supervisor Course & Knowledge of the securities industry (an asset)
- Licensed CIRO Supervisor
- Knowledge of CIRO Rules
- Knowledge of AML (Anti-Money Laundering) Rules
- Analytical skills
- Organization and prioritization skills
- Proficient in MS Office (Outlook, Word, Access, Excel, PowerPoint)
- Bilingual (English/French) strongly preferred

**EDUCATION AND ACCREDITATIONS**
- College diploma (DEC in Quebec) or University degree/ 5 or more years relevant industry experience

**Company Overview**:
**About**:
iA Financial Group is the strength of a company with a human side, with its over 8,000 employees. Together, we have earned the trust of our more than four million clients and 50,000 advisors who have chosen us for their insurance, savings, and wealth management.

With over $200 billion in assets and half a billion invested in technological innovation, we’re a key player in the financial services industry in Canada and the United States. The secret to our success? Investing in you, one person at a time. Because, for over 125 years, we have believed that it’s by supporting our employees and surrounding ourselves with the most reputable leaders in the industry, we will continue to innovate.

At iA, we’re invested in you.

**Our commitment to Diversity and Inclusion**:
At iA Financial Group, we support and celebrate diversity. We strive to provide a workplace that is recognized as inclusive for all, regardless of ethnic origin, nationality, language, religious beliefs, gender, sexual orientation, age, marital status, family situation, or physical or mental disability.

Please note that if you need help or assistance to make the recruitment process more accessible for you, please contact us here. Someone from our team will be happy to assist you.

  • Compliance Officer

    5 months ago

    Toronto, Canada Questrade Financial Group Full time

    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...

  • Compliance Officer

    3 weeks ago

    Toronto, Canada Osiris Concepts Full time

    We are working alongside one of our clients to help them find a Compliance Officer. They are a growing international e-wallet and payment services provider, is looking for a leading Compliance Officer for its Canadian office, based in Toronto, to provide effective leadership and continued development to ensure its business processes and procedures adhere to...

  • Compliance Officer

    5 months 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

    2 weeks ago

    Toronto, Canada Cassiopay Full time

    Cassiopay, a growing international e-wallet and payment services provider, is looking for a Compliance Officer for its Canadian office, based in Toronto, to provide continued development to ensure its business processes and procedures adhere to all applicable laws, rules, and regulations and internal rules.As the compliance subject matter expert, working...

  • Compliance Officer

    6 months ago

    Toronto, Canada Iceberg Finance Group Full time

    **Company Overview**: iFinance Canada is a well-established national consumer financing company that offers various financing to Canadians since 1996. We are part of Iceberg Finance Group, a sister company based in Quebec that also does business across Canada. We are a dynamic, rapidly growing organization currently recruiting for a meticulous and...

  • Compliance Officer

    5 months ago

    Toronto, Canada Enable Full time

    **Job Summary** As a **Compliance Officer **you will be responsible for helping Enable deliver on its quality management programme to meet external regulatory and statutory requirements and internal policies and procedures as part of the Sourcing, Risk & Compliance function. Your role is key in helping Enable’s departments understand their requirements...

  • Compliance Officer

    2 months ago

    Toronto, Canada CIRO Full time

    **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...

  • Compliance Officer

    1 month ago

    Toronto, Ontario, Ontario, Canada Angular Directions Full time

    We are working alongside one of our clients to help them find a Compliance Officer. They are a growing international e-wallet and payment services provider, is looking for a leading Compliance Officer for its Canadian office, based in Toronto, to provide effective leadership and continued development to ensure its business processes and procedures adhere to...

  • Compliance Officer

    3 weeks ago

    Toronto, Canada Professional Engineers Ontario Full time

    Reporting to the Manager, Professional Development Initiatives, the PEAK Compliance Officer will be responsible for administering compliance measures for the Practice Evaluation and Knowledge (PEAK) program. The PEAK Continuing Professional Education program applies to PEO’s 90,000 practitioners and is administered by staff of the PEAK Program Office...

  • Compliance Officer

    2 weeks ago

    Toronto, Canada Professional Engineers Ontario Full time

    Reporting to the Manager, Professional Development Initiatives, the PEAK Compliance Officer will be responsible for administering compliance measures for the Practice Evaluation and Knowledge (PEAK) program. The PEAK Continuing Professional Education program applies to PEO’s 90,000 practitioners and is administered by staff of the PEAK Program Office...

  • Compliance Officer

    2 weeks ago

    Toronto, Canada Professional Engineers Ontario Full time

    Reporting to the Manager, Professional Development Initiatives, the PEAK Compliance Officer will be responsible for administering compliance measures for the Practice Evaluation and Knowledge (PEAK) program. The PEAK Continuing Professional Education program applies to PEO’s 90,000 practitioners and is administered by staff of the PEAK Program Office...

  • Compliance Officer

    2 weeks ago

    Toronto, Canada Professional Engineers Ontario Full time

    Reporting to the Manager, Professional Development Initiatives, the PEAK Compliance Officer will be responsible for administering compliance measures for the Practice Evaluation and Knowledge (PEAK) program. The PEAK Continuing Professional Education program applies to PEO’s 90,000 practitioners and is administered by staff of the PEAK Program Office...

  • Compliance Officer

    1 month ago

    Toronto, Ontario, Ontario, Canada Cassiopay Full time

    Cassiopay, a growing international e-wallet and payment services provider, is looking for a Compliance Officer for its Canadian office, based in Toronto, to provide continued development to ensure its business processes and procedures adhere to all applicable laws, rules, and regulations and internal rules.As the compliance subject matter expert, working...

  • Compliance Officer

    1 month ago

    Toronto, Ontario, Canada beBee Professionals Full time $45,000 - $60,000

    We are seeking a Compliance Officer to join our finance team at beBee Professionals in Toronto. In this role, you will be responsible for maintaining accurate financial records, handling accounts payable and receivable, and ensuring the integrity of our accounting practices.Key Responsibilities:Manage and maintain financial records, including ledgers,...

  • Compliance Officer

    1 month ago

    Toronto, Canada Purves Redmond Limited Full time

    **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...

  • Compliance Analyst/Officer

    6 months 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...

  • Compliance Officer

    1 month ago

    Toronto, Ontario, Ontario, Canada Options Consulting Solutions Full time

    About the jobCOMPLIANCE OFFICERFULL-TIMEDOWNTOWN TORONTO, ONSalary up to $120KAs the Compliance Officer, you will be responsible for overseeing the firm’s regulatory and internal compliance programs, ensuring that all operations, transactions, and client interactions comply with applicable laws, regulations, and internal policies. You will collaborate with...

  • Compliance Officer

    2 months ago

    Toronto, Canada destinationone Consulting Full time

    destinationone Consultingspecializes in recruitment across various sectors includingHealthcare Health Tech Government Municipalities NonProfits Legaland more. We are proactively building a data bank for opportunitiesin these fields. By applying you ensure our recruiters can quicklymatch you with suitable roles when theyarise.Location:Variouslocations...

  • Compliance Officer

    3 weeks ago

    Toronto, Ontario, Ontario, Canada Professional Engineers Ontario Full time

    Reporting to the Manager, Professional Development Initiatives, the PEAK Compliance Officer will be responsible for administering compliance measures for the Practice Evaluation and Knowledge (PEAK) program. The PEAK Continuing Professional Education program applies to PEO’s 90,000 practitioners and is administered by staff of the PEAK Program Office...

  • Business Compliance Officer

    6 months 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...