Compliance Branch Examiner

**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 Manager, Branch Examination, the Compliance Officer is responsible for conducting onsite and/or remote branch...

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

**Position Title: Business Conduct Compliance Examiner** **Department: Business Conduct Compliance** **Location: Toronto** **Status: Fixed term, Full-time - 12 months (Hybrid)** **Day in the life of**: As a self-regulatory organization, Canadian Investment Regulatory Organization (CIRO) takes our responsibility of setting high-quality regulatory and...

**Aviso Wealth**: **The Opportunity**: We’re looking for a Bilingual Compliance Officer to join our Compliance team. Your role will be required to regularly perform essential duties on behalf of the company from your assigned Aviso office. Your role is considered medium flexibility, requiring you to work onsite 1 day per week at our office at 151 Yonge...

**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...

**Aviso Wealth**: **The Opportunity**: We’re looking for a Branch Compliance Manager to join our Compliance team for 18 months. This can be a remote role, however for those who would like to come into the office at at 151 Yonge Street, Toronto, ON. The Branch Compliance Manager will focus on providing Daily Tier 1 supervision of advisors located across...

Position Title:Senior Financial and Operations Compliance Examiner (ID)Department:Financial and Operations ComplianceLocation: TorontoStatus:Permanent Full-time (Hybrid)The Senior Examiner is accountable for analyzing and independently verifying the accuracy and completeness of the submitted informa

**Work Location**: Canada **Hours**: 37.5 **Line of Business**: Governance & Control **Pay Details**: **ABOUT TD WEALTH** **TD Wealth offers a full range of competitive wealth and asset management solutions to retail and institutional clients. We help individual and institutional clients protect, grow and successfully transition their wealth. There are...

At CI, we see a great place to work as one that is a safe place for everyone to have a voice, where people are empowered to take ownership over meaningful work, where there is an opportunity to grow through stretching themselves, where they can work on innovative products and projects, and where employees are supported and engaged in doing so.  JOB...

At CI Financial, we pride ourselves on being a dynamic and supportive work environment that fosters growth and innovation. We are seeking a highly skilled Compliance Risk Manager, Branch Audit to join our team in Toronto.About the RoleAs a key member of our Compliance team, you will be responsible for conducting thorough branch audits across Canada,...

**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...

Job OverviewWe are seeking a Senior Compliance Officer, Branch Audit to join our Compliance team. In this role, the successful candidate will conduct branch audits across Canada and facilitate Professional Development Training (PD days) presenting compliance topics to Assante Branch Managers, Advisors, and staff.Duties and ResponsibilitiesTravel to assigned...

OverviewWe are seeking a highly skilled and experienced Senior Compliance Professional to join our team as a Regional Branch Manager. This role will be responsible for overseeing the compliance function within our regional branches, ensuring that all regulatory requirements are met and that our business practices are aligned with industry standards.Salary...

Position Title: Senior Business Conduct Compliance Examiner (ID)Department:Business Conduct ComplianceLocation: TorontoStatus: Fixed term, Full-time - 12 months (Hybrid)Day in the life of:As a self-regulatory organization, Canadian Investment Regulatory Organization (CIRO) takes our responsibility o

We are looking for a skilled Senior Compliance Officer, Branch Audit to join our Compliance team at CI Financial. As a key member of our team, this role will be responsible for conducting branch audits across Canada and facilitating Professional Development Training (PD days) presenting compliance topics to Assante Branch Managers, Advisors, and staff.Key...

Job Title: Regional Branch Manager and Compliance ExpertAt Transamerica, we are seeking a highly skilled Regional Branch Manager and Compliance Expert to join our team. This role will be responsible for ensuring compliance with regulatory requirements and industry standards.ResponsibilitiesConduct pre-trade Know Your Client (KYC) reviews to ensure compliance...

At CI, we see a great place to work as one that is a safe place for everyone to have a voice, where people are empowered to take ownership over meaningful work, where there is an opportunity to grow through stretching themselves, where they can work on innovative products and projects, and where employees are supported and engaged in doing so. JOB...

**About Scotiabank**Scotiabank is a leading financial institution dedicated to delivering exceptional service and solutions to our clients. We are committed to fostering a culture of excellence, diversity, and inclusion.**Job Title: Compliance Expert for Mutual Fund Sales**We are seeking a highly skilled Compliance Expert to join our team. As a Compliance...

**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...

**Position Title**:Financial Examiner** **Department: Financial Compliance** **Location: Toronto** **Status: Fixed-term, Full-time 9 months (Hybrid)** **Key Responsibilities**: - Perform Examinations: Conduct financial examinations of CIRO Members and review of auditor working paper files following CIRO standard procedures. - Review and Analyze...