Compliance Manager

9 hours 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

  • Compliance Manager

    4 days ago

    Mississauga, Canada UniUni (Uni Express Inc.) Full time

    **Who Are We?** UniUni carries forward its energy and determination from Canada to the United States. UniUni’s innovative team and cutting-edge technology elevate and streamline delivery services in North America to meet customers’ demanding expectations. Aiming to be the leading provider of last-mile delivery, UniUni is at the beginning of elaborating...

  • Compliance Manager

    7 days ago

    Mississauga, Canada Near North Customs Brokers Inc. Full time

    Company Description Near North Customs Brokers provides tailored customs brokerage in Canada and the United States with access to every cross-border service you need to thrive in today’s everchanging global trade world. Our promise to provide the best service in the industry is built on three pillars: People, Expertise, and Technology. It’s why our...

  • Regulatory Compliance Manager

    5 days ago

    Mississauga, Canada Dexterra Group Full time

    Company Description **WHO ARE WE?** We've been serving Canadian clients for over 75 years. The companies that began independently and now form Dexterra Group have an outstanding record of supporting the infrastructure and built assets that play a vital role in our society and helping our clients achieve higher performance and productivity. Powered by...

  • Client Co-ordinator

    7 days ago

    Mississauga, Canada Compliance Mentorz Inc Full time

    Job description **Responsibilities**: - Coordinate office activities and operations to secure efficiency and compliance to company policies - Supervise administrative staff and divide responsibilities to ensure performance - Manage agendas/travel arrangements/appointments etc. for the upper management - Support budgeting and bookkeeping procedures - Create...

  • Manager, Operations, Standards and Compliance

    4 days ago

    Mississauga, Canada Ornge Full time

    Manager, Operations, Standards and Compliance Reference #: 2025-7 Strong. Proud. Uplifting. At Ornge, we believe that ordinary people can do extraordinary things. Each day, we connect communities with critical care across Ontario, Canada. In the air and by land, our teams deliver equity in emergency response, uplifting the lives of those in our care. We...

  • Client Coordinator

    7 hours ago

    Mississauga, Canada Compliance Mentorz Inc Full time

    Responsibilities - Coordinate office activities and operations to secure efficiency and compliance to company policies - Supervise administrative staff and divide responsibilities to ensure performance - Manage agendas/travel arrangements/appointments etc. for the upper management - Support budgeting and bookkeeping procedures - Create and update records and...

  • Hotel General Manager

    5 days ago

    Mississauga, Canada Hotel Rooms DivisionOperations Manager Full time

    **WE ARE HIRING** **GENERAL MANAGER - HOTEL** Do you have what it takes to put a smile on someone face? Can you lead a team of professional customer service specialists and hotel staff? Then we are looking for you! Come join our team and help us make a difference. Our team is looking for a General Manager who will be responsible for all aspects of hotel...

  • Systems Validation and Compliance Manager

    4 days ago

    Mississauga, Canada Cliantha Research Ltd. Full time

    **Job description** Cliantha is currently seeking a **System** **Validation and Compliance Manager** who can fulfill its business needs and is looking for better learning and growth opportunities. **About Us** Cliantha Research is a full service Clinical Research Organization (CRO) that provides comprehensive and integrated offerings in Early Phase, Late...

  • Compliance Officer

    5 days 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...

  • Safety and Compliance Manager

    7 hours ago

    Mississauga, Canada Hayer Freight Services Full time

    Duties & Responsibilities: - Thorough knowledge of all MTO Rules and Regulations regarding driving and driver responsibilities (we will provide training) - Audit Driver Logs and provide re-training or discipline where necessary - Renewing and reviewing CVOR monthly - Reviewing all driver abstracts monthly - Analyze and generate reports as required - Review...

  • Regulatory Compliance Manager

    7 days ago

    Mississauga, Ontario, Canada CPG Connect Full time

    At CPG Connect, we're committed to delivering top-notch regulatory compliance solutions that drive business growth. Our Regulatory Affairs Specialist plays a pivotal role in ensuring our products meet the highest standards of quality and safety.Job OverviewWe're seeking an experienced Regulatory Affairs Specialist to join our team. This individual will be...

  • Associate Manager, Drug Safety Compliance

    6 days ago

    Mississauga, Canada Bayshore HealthCare Full time

    The **Associate Manager, Drug Safety Compliance **will act as a Pharmacovigilance (PV) Compliance expert for PV Operations across the assigned Patient Support Program(s). This role will partner with Drug Safety & Medical Information (DSMI) team and Cross Functional Specialty teams to enhance compliance with our PV contractual obligations, PV key performance...

  • Manager Trade Process Compliance

    2 days ago

    Mississauga, Canada Purolator Full time

    **_Workplace Environment:_** Hybrid **_ This role can sit in the following cities:_** Mississauga **Open up to the Possibilities!** At Purolator, you’ll be proud knowing you’re working for a Canadian company that truly values its employees. And it’s community. This is an exciting and evolving industry and we’re leading the change as we strive to...

  • Compliance Specialist

    1 day ago

    Mississauga, Canada Brunel Full time

    IntroductionWe are currently hiring a Compliance Specialist for our client located in Mississauga, ON. Our client is a global biopharmaceutical company focused on innovating, developing, and commercializing medicines across areas such as oncology, cardiovascular, respiratory, and immunology. The Compliance Specialist will be responsible for but not limited...

  • Compliance Specialist

    1 day ago

    Mississauga, Canada Brunel Full time

    IntroductionWe are currently hiring a Compliance Specialist for our client located in Mississauga, ON. Our client is a global biopharmaceutical company focused on innovating, developing, and commercializing medicines across areas such as oncology, cardiovascular, respiratory, and immunology. The Compliance Specialist will be responsible for but not limited...

  • Compliance Coordinator

    6 hours ago

    Mississauga, Canada Cintas Full time

    **Requisition Number**: 116749 Cintas is seeking a Compliance Coordinator to manage all areas related to Health and Safety compliance and performance. Responsibilities include supporting and coordinating safety awareness programs; ensuring proper reporting of work-related accidents; coordinating and/or conducting all safety training, including physical...

  • Compliance Officer-product

    5 days ago

    Mississauga, Canada Primerica Full time

    About this Position Role requires knowledge an understanding of all applicable Life Insurance Company Federal and Provincial laws and regulations as well as all applicable Federal and Provincial Privacy Laws and Regulations, and will extend to compliance with CASL and anti-money laundering laws as well as other regulatory obligations as may be assigned to...

  • Compliance Specialist

    2 days ago

    Mississauga, Canada Brunel Full time

    IntroductionWe are currently hiring a Compliance Specialist for our client located in Mississauga, ON. Our client is a global biopharmaceutical company focused on innovating, developing, and commercializing medicines across areas such as oncology, cardiovascular, respiratory, and immunology. The Compliance Specialist will be responsible for but not limited...

  • Compliance Specialist

    2 days ago

    Mississauga, Canada Brunel Full time

    Introduction We are currently hiring a Compliance Specialist for our client located in Mississauga, ON. Our client is a global biopharmaceutical company focused on innovating, developing, and commercializing medicines across areas such as oncology, cardiovascular, respiratory, and immunology. The Compliance Specialist will be responsible for but not...

  • Compliance Specialist

    2 days ago

    Mississauga, Canada Brunel Full time

    IntroductionWe are currently hiring a Compliance Specialist for our client located in Mississauga, ON. Our client is a global biopharmaceutical company focused on innovating, developing, and commercializing medicines across areas such as oncology, cardiovascular, respiratory, and immunology. The Compliance Specialist will be responsible for but not limited...