Current jobs related to Compliance Officer, Head Office/scotia Securities - Toronto - Scotiabank

  • Compliance Officer

    1 week ago


    Toronto, Canada Scotiabank Full time

    Requisition ID: 178998 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. **_ Purpose_** Contributes to the overall success of the Scotia Securities Inc. (SSI) / Global Compliance GWM in Canada ensuring specific individual goals, plans, initiatives are executed / delivered in support of the team’s...

  • Regional Supervisor

    3 days ago


    Toronto, Canada Thai Express (Head Office) Full time

    With almost 300 restaurants across Canada and oversea, Thaï Express is the leading Thai quick-service restaurant in North America. Our success is rooted in combining traditional Thai cuisine with new-world design and flavors. We are now looking for a Regional Supervisor for the province of Quebec to ensure the day-to-day operations of the stores, in...


  • Toronto, Canada Toronto Head Office - Primaris REIT Full time

    **Office Services Administrator**: Primaris REIT is currently hiring a dedicated and enthusiastic Office Services Administrator to join our team at our Head Office in Toronto, ON. If you have exceptional organizational skills and a keen attention to detail, and thrive in a dynamic, fast-paced environment, this exciting opportunity is perfect for you! As the...

  • Compliance Officer

    7 days ago


    Toronto, Canada Questrade Financial Group Full time

    Questrade Financial Group (QFG) of Companies is committed to helping Canadians become much more financially successful and secure. We are everything a traditional financial institution is not. Our vision is to revolutionize financial services for the benefit of Canadians by providing the most innovative and cost efficient financial services online. That’s...

  • Compliance Officer

    1 week ago


    Toronto, Canada Questrade Financial Group Full time

    Questrade Financial Group (QFG) of Companies is committed to helping Canadians become much more financially successful and secure. We are everything a traditional financial institution is not. Our vision is to revolutionize financial services for the benefit of Canadians by providing the most innovative and cost efficient financial services online. That’s...

  • Compliance Officer

    1 day ago


    Toronto, Canada CIRO OCRI Full time

    **Position Title: Compliance Officer** **Department: 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 regulatory functions of the...

  • Compliance Officer

    3 days 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...


  • Toronto, Canada Scotiabank Full time

    Requisition ID: 161719 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. Contributes to the overall success of the Scotia Digital in Toronto, Ontario ensuring specific individual goals, plans, initiatives are executed / delivered in support of the team’s business strategies and objectives. Ensures all...


  • Toronto, Canada MUFG Securities Canada Full time

    **Do you want your voice heard and your actions to count?** Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 7th largest financial group in the world. Across the globe, we’re 120,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, building long-term...


  • Toronto, Canada Admiral Markets Full time

    Admiral Markets Canada Limited ("Admirals Canada") is a registered investment dealer, Member of the Investment Industry Regulatory Organization of Canada (IIROC) and Canadian Investor Protection Fund (CIPF). We are a member of Admirals Group AS. The firm is an order-execution-only (OEO) dealer in "contracts for difference" and over-the-counter (OTC) foreign...


  • Toronto, Canada Optimize Wealth Management Full time

    Company DescriptionOptimize offers personalized financial solutions covering financial planning, portfolio management, tax preparation, debt management, and estate planning. Our holistic approach, independence, and personalized service set us apart in the industry, prioritizing honesty, persistence, teamwork, and excellence. Optimize Financial Group is in...


  • Toronto, Canada CI Financial Full time

    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...

  • Compliance Officer

    5 days ago


    Toronto, Canada Raymond James Financial Full time

    **Compliance Officer (RJLU)** - 2203235 **Job Summary** Raymond James Ltd. is seeking a Compliance Officer for its subsidiary company Raymond James (USA) Ltd. (RJLU). Raymond James Ltd. is Canada’s leading independent investment dealer offering high quality investment products and services to Canadians seeking customized solutions to their wealth...


  • Toronto, ON, Canada Optimize Wealth Management Full time

    Company Description Optimize offers personalized financial solutions covering financial planning, portfolio management, tax preparation, debt management, and estate planning. Our holistic approach, independence, and personalized service set us apart in the industry, prioritizing honesty, persistence, teamwork, and excellence. Optimize Financial Group is in...


  • 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...


  • Toronto, Canada Peak6 Full time

    Apex Fintech Solutions (AFS) powers innovation and the future of digital wealth management by processing millions of transactions daily, to simplify, automate, and facilitate access to financial markets for all. Our robust suite of fintech solutions enables us to support clients such as Stash, Betterment, SoFi, and WeBull, and more than 20 million of our...


  • Toronto, Canada Apex Clearing Full time

    Apex Fintech Solutions (AFS) powers innovation and the future of digital wealth management by processing millions of transactions daily, to simplify, automate, and facilitate access to financial markets for all. Our robust suite of fintech solutions enables us to support clients such as Stash, Betterment, SoFi, and WeBull, and more than 20 million of our...


  • Toronto, Ontario, Canada Richardson GMP Ltd. Full time

    Senior Manager, Internal Audit and AssuranceAbout Us:Richardson Wealth is a leading Canadian wealth management organization offering a personal touch while delivering big results.We have offices across the country, making us home to some of Canada's best investment advisors.Our company has embarked on an exciting growth phase – a multi-year...


  • Toronto, Canada Scotiabank Full time

    Requisition ID: 137212 As a cornerstone business within Scotia Wealth Management®, ScotiaMcLeod has earned a reputation for integrity based on service excellence and trusted investment advice. Our advisors and teams pride themselves on exploring innovative approaches to protecting and growing their clients' assets. When you join ScotiaMcLeod, you’ll be...


  • Toronto, Canada Dentons Full time

    **Background** The legal profession is changing rapidly and Dentons is leading the way in advancing change for the benefit of clients. We are driven to challenge the status quo, delivering consistent and uncompromising quality and value to our clients in new and innovative ways. With over 20,000 individuals in more than 200 offices across 80 countries, the...

Compliance Officer, Head Office/scotia Securities

1 week ago


Toronto, Canada Scotiabank Full time

Requisition ID: 153867

Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.

**_
Purpose_**

Contributes to the overall success of the Scotia Securities Inc. (SSI) / Global Compliance GWM in Canada ensuring specific individual goals, plans, initiatives are executed / delivered in support of the team’s business strategies and objectives. Ensures all activities conducted are in compliance with governing regulations, internal policies and procedures.

Participates in a team supporting 2nd line compliance oversight and investigations in ensuring:

- SSI, its branches and its registered representatives comply with Regulations. Regulations refers to laws (including AML legislation), rules, regulations, and policies and SRO codes of conduct, policies, rules, and by-laws which govern the business and mutual fund dealer activities of SSI in Canada.
- Tangerine Investment Funds Limited (TIFL), its registered representatives comply with Regulations. Regulations refers to laws (including AML legislation), rules, regulations, and policies and SRO codes of conduct, policies, rules, and by-laws which govern the business and mutual fund dealer activities of SSI in Canada.
- Adherence to SSI, BNS and TIFL policies, procedures and controls established for branches and other units in support of SSI mutual fund activities, including KYC requirements.
- Adherence to the Scotiabank Guidelines for Business Conduct and to industry standards adopted by SSI.

Ensures the Global Wealth Business line is compliant with legal and regulatory requirements and adherence to internal policies and procedures and supports:

- Branch Compliance Officers (BCOs) with respect to their supervision of the selling and related activities in respect of mutual funds distributed by SSI, and for periodic reporting.
- SSI Supervision Team and TIFL Head Office with respect to their review of related activities in respect of mutual funds distributed by SSI and TIFL.
- MFR's and non-registered staff with respect to the sales and other activities in respect of mutual funds distributed by SSI and TIFL.
- Mutual fund sales activity conducted via branches and other delivery channels (daily or periodic).

**_
Accountabilities _**:

- Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge.
- Monitors client mutual fund trade activities utilizing exception reports, with a focus on unusual/irregular activity and on additional reviews that cannot be carried out at the branch level, such as excessive activity and other reports as required.
- Conducts the quarterly review of customer statements/account activity as mandated by the MFDA.
- Completes Head Office supervision and review reports in a timely manner as required for account supervision, daily review and client statement reviews.
- Submits monthly or other reports based on monitoring as directed by the Senior Manager of Compliance or the Chief Compliance Officer.
- Reports any unusual activity if there is any suspicion per AML policy of money laundering.
- Assists in the control, evaluation and responds to any serious irregular activity, such as fraud, kiting, money laundering or serious incidence of non-compliance, negative trends and any known or perceived weaknesses in policies, practices, procedures, systems, staffing or training which could lead to non-compliance.
- Recommends and monitors action plans to correct incidents of non-compliance (and prevent their reoccurrence).
- Advises, oversees and trains branch staff on compliance procedures regarding approvals for POAs, leveraged trades and unusual requests.
- Apprises and advises management regarding unusual requests or questions from the branches.
- Maintains up-to-date knowledge of applicable national and local Regulations through participation in industry associations and seminars, reviews of Provincial Securities Commission, MFDA, AMF (Quebec) and other industry publications. Attention to regulatory requirements such as MFDA Policies 2, 5 and 6, Anti-Money Laundering/Anti-Terrorist Financing, and Privacy Regulations and other regulatory matters to perform case investigations.
- Executes agreed upon procedures for specific of a low to moderate complexity and/or confidential nature.
- Provides mentoring, coaching and feedback regarding recommendations and best practices for enterprise investigations, as appropriate.
- Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions.
- Actively pursues effective and efficient operations of his/her respective areas in accordance with Scotiabank’s Values, its Code of Conduct and the Global Sales Principles, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational, compliance, AML/ATF/sanctions and conduct risk.
- Champions a high performance en