Compliance Officer, Retail Surveillance

Requisition ID: 208545 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. **Purpose** Contributes to the overall success of the Global Compliance Trade Surveillance Department (“GCTS”) within Global Banking and Markets & Treasury (“GBM&T”) Compliance in Canada, ensuring specific individual goals,...

Requisition ID: 188102 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. **_ Purpose_** Contributes to the overall success of the Global Compliance Trade Surveillance Department (“GCTS”) within Global Banking and Markets & Treasury (“GBM&T”) Compliance in Canada, ensuring specific individual...

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...

CI Financial is an independent company offering global wealth management and asset management advisory services through a diverse group of financial services firms. Since 1965, we have consistently anticipated and responded to the changing needs of investors. We are driven by a commitment to provide individuals and institutions with the highest-quality...

100 King Street West Toronto Ontario,M5X 1A1 **Note this is a 1-year contract opportunity.** BMOII’s Trade Surveillance team within the Legal, Regulatory, Compliance and Procurement Group (LRCP) has an opening for an Associate Compliance Officer (1-year contract) who will be responsible for conducting daily and monthly trade surveillance activities for...

Job Overview:The Senior Compliance Surveillance Manager is responsible for leading a team of compliance professionals in overseeing, reviewing, and enhancing the surveillance program for market abuse and electronic communications. This role reports to the Managing Director and Global Head of Surveillance for TD Securities and the Chief Compliance Officer for...

Requisition ID: 189302 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. **_ Purpose_** Contributes to the overall performance of the Global Compliance Trade Surveillance Department (GCTS) within Global Banking and Markets & Treasury (“GBM&T”) Compliance in Canada. Activities are focused on specific...

About the OpportunityWe are seeking a highly skilled Senior Compliance Officer to join our Wealth Management Surveillance team at RBC. This is an exciting opportunity for someone who is passionate about compliance and risk management to make a meaningful impact in an ever-evolving environment.

**Position Title: Surveillance Officer** **Department: Market Surveillance** **Region: Toronto** **Status: Fixed-term - 10 months (Hybrid)** As a vital member of the Market Surveillance team, you will utilize cutting edge technology and data analysis techniques to monitor trading, protect market integrity and administer New SRO's UMIR rules. You’ll...

We are seeking a seasoned Senior Compliance Officer to join our team at TD Securities, responsible for overseeing the surveillance program for market abuse and electronic communications in Canada. Reporting to the Managing Director and Global Head of Surveillance, this individual will lead a team of compliance professionals in reviewing and enhancing the...

Requisition ID: 210469 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. **Purpose** The objective of the Compliance Officer (CO) is to directly conduct capital markets and retail trading related surveillance and support for the Global Banking and Markets & Treasury (“GBM&T”) and Wealth Management...

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...

**Position Title: Surveillance Officer** **Department: Market Surveillance** **Region: Toronto, Montreal, Vancouver** **Status: Permanent Full-time (Hybrid)** **Target Hiring Range: $75,000 - $90,000** **Day in the life of**: The Surveillance Officer provides real time equity market surveillance in order to ensure the market integrity of the Canadian...

**Position Title: Surveillance Officer** **Department: Market Surveillance** **Region: Toronto** **Status: Permanent Full-time (Hybrid)** **Day in the life of**: The Surveillance Officer provides real time equity market surveillance in order to ensure the market integrity of the Canadian marketplace; and executes the timely disclosure policies of...

Position Overview The primary responsibilities of the Compliance Advisor, Market Surveillance is to conduct compliance monitoring and to act as resource for Advisors and employees regarding industry regulations that must be adhered to within the firm. This role will be geared towards market surveillance activities to help ensure that the firm and its...

**RJLU Compliance Officer** - 2302911 - At Raymond James,_ _**_we_**_ _**_develop,_ _**_we_**_ _**_collaborate,_ _**_we_**_ _**_decide,_ _**_we_**_ _**_deliver, and_ _**_we_**_ _**_improve together_. Raymond James Ltd. is Canada’s leading independent investment dealers offering high quality investment products and services to Canadians seeking customized...

Job Description About Us: Fidelity Clearing Canada (FCC) is the leading independent clearing broker and custodian in the Canadian market. We provide trade execution, clearing, custody and back-office support services to Canadian-based brokerage firms and the Canadian brokerage arms of U.S.based firms. For more information about Fidelity Clearing Canada,...

We’re building a relationship-oriented bank for the modern world. We need talented, passionate professionals who are dedicated to doing what’s right for our clients. At CIBC, we embrace your strengths and your ambitions, so you are empowered at work. Our team members have what they need to make a meaningful impact and are truly valued for who they are...

**Employment Status**: Permanent Full-Time **Location**: Toronto, ON **Department**: Risk & Compliance **Reporting To**: Manager - Compliance Services and Advisor Support **Job Id**: CPL - 084 **Job Level**: L3 **Seniority Level**: Associate **Position Overview**: The Compliance Advisor, Compliance Services and Advisor Support, is a resource for...

**About the Role**: The Compliance Officer (“CO”) contributes to the overall performance of the Regulatory Compliance Department within Coinsquare Capital Markets Limited (“CCML”). CCML is registered across Canada as an investment dealer and is a dealer and marketplace member of the New Self Regulatory Organization of Canada (“New SRO”). CCML is...