Compliance Manager

6 months ago


Mississauga, Canada Edward Jones Full time

**Want a meaningful career where you can make a difference? Edward Jones sounds perfect for you.**

Collaboration. Autonomy. Opportunity. Words our headquarters associates use when talking about working at Edward Jones. Words that describe what it's like being part of a firm where everyone is aligned toward a singular focus: serving the client. And everyone is working to make the firm better together - as they grow as individuals. If these words resonate with you, we should talk.

**Job Overview**

Position Schedule: Full-Time

Join a dynamic team of Compliance professionals whose primary responsibility it is to support branch teams to ensure their understanding of and adherence to regulatory requirements and expectations; as well as to supervise and oversight client accounts and branch activities. The Team Leader is responsible for managing and supervising the overall performance of compliance associates. He/she is responsible for hiring, retaining and developing associates to support current and future business needs and to prepare them for additional responsibilities. Additionally, the Team Leader supports the Director of Supervision and other senior division leaders with the implementation and execution of the division plan and other strategic objectives of the division.

The Team Leader will oversee a team within the Supervision department, whose core responsibility it is to monitor and supervise branch and client account activity. In particular, this team provides:

- Day-to-day supervision of client accounts, including the ongoing development of compliance and supervisory programs, the implementation of these programs, and the revision of existing programs to meet business and regulatory requirements necessary to support the firm's process improvements related to the Edward Jones supervision program
- General support related to Compliance and Supervision inquiries from branch teams and clients,
- Analytics, ongoing and ad hoc reporting to the Compliance and Supervision division
- Enhanced supervision and asset surveillance

The Team Leader will be responsible for:

- Promoting a sense of partnership between compliance, branch teams and other business areas.
- Establishing and communicating clear performance expectations and ensuring that work conducted by the team is accurate and completed in a timely and professional manner consistent with the firm's culture and values.
- Oversight of the day-to-day activities and core responsibilities of team associates
- Routinely providing insights on compliance matters.
- Leading or participating in projects.
- Representing Edward Jones at industry conferences or events as needed.
- Assisting in the creation and implementation of new or changed policies and procedures.
- Being involved in both internal and external audits.
- Promoting innovation, strategic thinking, and continuous improvement with the team.
- Ensuring cost projections and expense reports adhere to firm policy.

**Skills/Requirements**

Position Requirements:

- Required courses are the Canadian Securities Course (CSC), the Conduct and Practices Handbook (CPH), Investment Dealer Supervisors Course (IDSC), plus two years' experience with a CIRO dealer member.
- CIRO licensing and registration as a designated supervisor of client accounts for securities is strongly preferred.
- A university degree, college diploma or relevant work experience.
- Comprehensive knowledge of securities and insurance industry rules and regulations.
- Demonstrated ability to lead through change and ambiguity, use sound judgment, think innovatively, and take initiative, using a team approach, to drive a project from inception to completion with little direction.
- LLQP and/or CFP considered an asset

**Awards & Accolades**

At Edward Jones, we are building a place where everyone feels like they belong. We're proud of our associates' contributions to the firm and the recognitions we have received.

Check out our U.S. awards and accolades: Insights & Information Blog Postings about Edward Jones

Check out our Canadian awards and accolades: Insights & Information Blog Postings about Edward Jones

**About Us**

Join a financial services firm where your contributions are valued. Edward Jones is a Fortune 500¹ company where people come first. With over 8 million clients and 19,000 financial advisors across the U.S. and Canada, we're proud to be privately-owned, placing the focus on our clients rather than shareholder returns.

Behind everything we do is our purpose: We partner for positive impact to improve the lives of our clients and colleagues, and together, better our communities and society. We are an innovative, flexible, and inclusive organization that attracts, develops, and inspires performance excellence and a sense of belonging.

People are at the center of our partnership. Edward Jones associates are seen, heard, respected, and supported. This is what we believe makes us the best place to start or build your career


  • Production Manager

    2 months ago


    Mississauga, Canada ICC Compliance Center Inc Full time

    Job Title: Production Manager Reports To: President Effective Date: As soon as possible Location: Mississauga, ON **About Us** ICC Compliance Center was founded in 1987 with one principal in mind - to help our clients comply with hazardous materials/dangerous goods regulations, whether they are handling, shipping or transporting hazardous...


  • Mississauga, Canada ICC Compliance Center Inc Full time

    Job Title: Business Development Manager Reports To: Sales Manager Effective Date: Immediately Location: Mississauga, ON **About Us** ICC The Compliance Center is a leading provider of regulatory compliance solutions, offering products and services for transportation, labeling, packaging, and workplace safety. We are seeking a dynamic and results-driven...

  • Compliance Manager

    6 months ago


    Mississauga, Canada Novo Nordisk Full time

    Compliance Manager (Privacy) **Category**:Legal, Compliance & Audit**Location**:Mississauga, Ontario, CA**REPORTS TO**: Director, Ethics and Compliance**# DIRECT REPORTS**: None**ABOUT THE FUNCTION** - The Legal, Ethics & Compliance Department works to safeguard Novo Nordisk’s license to operate and to foster sustainable business conduct as Novo Nordisk...


  • Mississauga, Canada Grant Group of Companies Full time

    **Job Overview** **Responsibilities** - Develop and implement compliance policies and procedures to ensure adherence to applicable laws and regulations. - Conduct regular audits and assessments to identify compliance risks and areas for improvement. - Provide training and support to employees on compliance-related matters. - Monitor changes in legislation...

  • Compliance Manager

    1 month ago


    Mississauga, Ontario, Canada beBee Professionals Full time

    Job Title: Compliance Manager - TransportationJob Summary: We are seeking a highly skilled Compliance Manager - Transportation to join our team in Mississauga. The successful candidate will be responsible for ensuring compliance with all applicable laws and regulations related to transportation.Key Responsibilities:Develop and implement compliance programs...

  • Compliance

    5 months ago


    Mississauga, Canada Investment Planning Counsel Full time

    Investment Planning Counsel (IPC) is one of the fastest growing independent wealth management companies in Canada. We are a diverse group of people all driven towards one goal: helping advisors build a better business through a remarkable client experience. Our Compliance team is currently growing! We’re seeking a Compliance Officer, Branch Review -...

  • Compliance

    5 months ago


    Mississauga, Canada Investment Planning Counsel Full time

    Investment Planning Counsel (IPC) is one of the fastest growing independent wealth management companies in Canada. We are a diverse group of people all driven towards one goal: helping advisors build a better business through a remarkable client experience. The area of Regulatory Compliance & Risk Management ensures that IPC Securities Corporation (IPCSC)...

  • Compliance

    6 months ago


    Mississauga, Canada Investment Planning Counsel Full time

    **Compliance Officer (Contract)** Investment Planning Counsel (IPC) is one of the fastest growing independent wealth management companies in Canada. We are a diverse group of people all driven towards one goal: helping advisors build a better business through a remarkable client experience. With your background, skills and experience you’ve already found...

  • Compliance

    6 months ago


    Mississauga, Canada Investment Planning Counsel Full time

    Investment Planning Counsel (IPC) is one of the fastest growing independent wealth management companies in Canada. We are a diverse group of people all driven towards one goal: helping advisors build a better business through a remarkable client experience. Our Compliance team is currently growing! We’re seeking a Compliance Officer, someone who is...


  • Mississauga, Ontario, Canada GardaWorld Full time

    Job Description:We are seeking a highly skilled Compliance Assurance Manager to join our team at GardaWorld.About the Role:This is an exciting opportunity for a results-driven professional to oversee compliance with Standard Operating Procedures (SOPs) and ensure operational excellence in meeting client expectations. As a key member of our team, you will be...


  • Mississauga, Canada Delmar International Inc. Full time

    **Mandate**: Reporting to the Vice President of North American Customs Services, the **Regulatory Compliance Manager **will be responsible for providing the full range of Canadian customs regulatory and advisory services to support our clients as well as the internal staff. **Other Responsibilities**: - Manage customs technical inquiries related to client...

  • Compliance

    5 months ago


    Mississauga, Canada Investment Planning Counsel Full time

    **Corporate Branch Manager, IPCIC** With your background, skills and experience you’ve already found success in the wealth management industry. Have you found your ideal firm, one that encourages you to pursue a balanced lifestyle as well as professional success? Our IPCIC Compliance team is currently growing! We are currently seeking a Corporate Branch...


  • Mississauga, Canada Strongco Full time

    **Province**: Ontario **Branch**: Mississauga **Employment Type**: Full Time **Number of Positions**:1 **SUMMARY** As the Legal & Compliance Manager you’ll oversee and coordinate legal activities in our businesses across Canada, ensuring seamless collaboration between business teams. Responsibilities includes reviewing and coordinating regulatory and...


  • Mississauga, Canada RIGHT SERVICE RIGHT CHOICE Full time

    We are looking for an experienced, motivated, and hardworking individual to join our Company's Safety and Compliance Sector to promote high standards in Safety and Compliance in Trucking Industry in Canada. DUTIES: - Compliance Monitoring - ELD and Log Books Audit - Driver Qualification Files - Drug and Alcohol Program - Equipment files - Date entry for...

  • Regional Safety

    6 months ago


    Mississauga, Canada CANADA CARTAGE Full time

    **Why you’ll love Canada Cartage** An iconic Canadian company with over 100 years of helping companies grow and succeed in Canada, we provide national dedicated fleet solutions, general freight services, managed transportation, fulfillment & distribution, and home delivery. With a national network of terminals, cross-docks, and distribution centers, we...


  • Mississauga, Ontario, Canada beBee Professionals Full time

    Job Title: Compliance and Risk Management OfficerbeBee Professionals is looking for a skilled Compliance and Risk Management Officer to develop and implement internal audit plans, assess the effectiveness of internal controls, and ensure compliance with applicable laws and regulations.Key Responsibilities:Develop and implement internal audit plansAssess the...

  • Compliance Analyst

    6 months ago


    Mississauga, Canada Primerica Full time

    About this Position We are looking for a Compliance Analyst to join our Compliance department. Responsibilities and Qualifications **Responsibilities**: - Researching and analyzing applicable legislative and regulatory actions concerning segregated fund and insurance products, ancillary products, field operations and home office administration - Tracking...


  • Mississauga, Canada Silfab Solar Full time

    **Company Description** **_ Our purpose_**_ is to make a difference in the world by reducing carbon emissions and improving access to clean energy with every module we make._ - At Silfab Solar, the energy of our people is the power behind our success. _Our employees actively shape the solar innovations of tomorrow, while adhering to the highest ethical...

  • Compliance Officer

    6 months ago


    Mississauga, Canada MINT Capital MIC Inc. Full time

    The Compliance officer will be responsible for managing compliance issues that arise in relation to: - Mortgage Investment Company (MIC) and Exempt market dealers and exempt offerings, - Review KYC and suitability assessments and AML inputs. - Prepare compliance-related filings and reports. - Maintain the firm’s compliance calendar and compliance...

  • Compliance Officer

    6 months ago


    Mississauga, Canada Embark Full time

    **Job Profile**: Compliance Officer **Compliance Officer** Full-time Reporting into Manager, Central Compliance At Embark Student Corp. (“Embark”) we’re on a journey to create an entirely new student experience. One that is built on instilling confidence in students around the paths they are choosing and their ability and agency to achieve their...