Chief Compliance Officer

1 month ago

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 exchange contracts (collectively, CFDs) with retail investors in B.C. and Ontario.

As a financial services Group Admiral has been operating successfully for 22 years and has been on the top of trust of traders and investors. Its is a multiregulated company with several licenses acrcoss the globe.

**Your Role**
- Registration Categories_: Permitted Individuals - Officer; Investment Dealer - Chief Compliance Officer _IIROC Approval Categories_:Executive (Non-Trading), Chief Compliance Officer)

**Competency Profile**
- Compliance Function and Operations
- Fundamental regulatory and industry knowledge
- Role, mandate and oversight of the compliance department
- Risk Management
- Compliance risk management
- Business functions and compliance risk
- Regulatory Reporting, Examinations, Investigations and Actions
- Regulatory reporting
- Regulatory examinations
- Regulatory investigations
- Regulatory action
- Compliance Responsibilities
- Policies and Procedures (P&P)
- Complaint handling
- Dealing with clients
- CCO Duties and Obligations

**Your Responsibilities**

As theChief Compliance Officer**, **you are responsible for the compliance oversight of the firm and individuals acting on its behalf and, in particular:

- establishing and maintaining policies and procedures to assess compliance by the firm and individuals working on its behalf with IIROC requirements and securities laws;
- monitoring and assessing compliance by the firm and individualsacting on its behalf with IIROC requirements and securities laws;
- reporting to the Ultimate Designated Personas soon as possible if there is any indication that
- providing the board of directors with reasonable assurance that all standards and requirements of applicable securities laws and regulations, and IIROC requirements, are met**;**:

- delivering an annual report to the board of directors that identifies and discusses material findings contained within IIROC compliance reports, early warning designations, gatekeeper reports, disciplinary actions, compliance risk trend report results as well as any other relevant findings or reports;
- taking a lead role to identify, assess, advise on, act on, communicate, monitor, escalate and report on the firm's compliance with regulatory requirements; and
- promoting a strong culture of compliance, which focuses not only on compliance with applicable rules and regulations but also emphasizes the importance of personal integrity and the need to deal with clients fairly, honestly and in good faith at all times.

the firm or any individual acting on its behalf may be in non-compliance with IIROC requirements or securities laws, and
- the non-compliance creates a reasonable risk of harm to a client;
- the non-compliance creates a reasonable risk of harm to the capital markets; and
- the non-compliance is part of a pattern of non-compliance;
**Requirements**:
**Proficiency Requirement**

Successful completion of the following courses:

- Partners, Directors and Senior Officers Course;
- Chief Compliance Officers Qualifying Examination

and

**Experience Requirement**
- Undergraduate degree or equivalent (background in brokerage operations, finance, compliance, law or audit).
- 5+ years of experience working as a Registrant or Approved Person at an investment dealer, with at least three years in a compliance or supervisory capacity.
- Extensive working knowledge of Canadian securities laws and regulatory requirements, including National and Multilateral Instruments, provincial Securities Acts_,_ OSC Regulations, and IIROC Rules and Guidance.
- Extensive working knowledge of the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA) and its Regulations, FINTRAC AML/ATF Regime, Canada's privacy laws and Canada's anti-spam legislation that impact the business.
- Extensive working knowledge of exchange and over-the-counter derivatives, US and EU listed equities, indices, commodities, currencies, bonds and trading on margin.
- Experience with participating in IIROC's financial and operations examination, business conduct compliance examination, cybersecurity self-assessment survey, annual risk questionnaire; and responding to requests for documents related to the firm's business continuity plan audit; and annual financial statement audits, etc.
- Self-driven with exceptional analytical and problem-solving skills, high level of attention to detail; able to work extended hours, manage multiple complex projects simultaneously, collaborate with teams and business units across time zones and remain composed under pressure.
- Excellent written and oral communica

  • Deputy Chief Operating Officer, Compliance

    1 month ago

    Toronto, Canada AGCO Full time

    **Position Title**: Deputy Chief Operating Officer, Compliance **Term**: Permanent, Full-time **Division/Branch**: Operations Division / COO Office **Application Deadline**: February 16, 2024 **Level**: Level 15 **Salary Range**: Min: $146,097 to Max: $182,617 **Work Location**: Head Office, Toronto, ON; Hybrid The Alcohol and Gaming Commission of Ontario...

  • Deputy Chief Operating Officer, Compliance

    1 month ago

    Toronto, Canada Alcohol and Gaming Commission of Ontario Full time

    The Alcohol and Gaming Commission of Ontario (AGCO) is a regulatory agency charged with regulating the province's dynamic alcohol, cannabis, gaming, and horse racing industries. All four industries are evolving at a rapid pace due to significant expansion, digitization, and regulatory modernization over the last decade. The AGCO is seeking a highly...

  • Chief Technology Officer

    1 month ago

    Toronto, Canada CCBST College Full time

    **Key Responsibilities** - Responsible for the overall security of the works - Responsible for the delivery of all aspects of security management for the Works, including Security Risk Assessment, CPTED (crime prevention through environmental design) and other threat and vulnerability assessments. - Be the project’s contact for all communications with the...

  • Vice-President & Chief Compliance Officer – Independent Advisory Service

    4 days ago

    Toronto, Canada Wellington-Altus Full time

    Vice-President & Chief Compliance Officer – Independent Advisory Services Location: This position will be based out of our Winnipeg or Toronto office. Our organization : Founded in 2017, Wellington-Altus Financial Inc. (Wellington-Altus) is the parent company to Wellington-Altus Private Counsel Inc., Wellington-Altus USA Inc., Wellington-Altus...

  • Compliance Officer

    1 month ago

    Toronto, Canada Coinsquare Full time

    **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...

  • Compliance Officer- Rjlu

    1 month ago

    Toronto, Canada Raymond James Financial Full time

    **Compliance Officer - RJLU** - 2300382 **Job Summary** Raymond James Ltd. is seeking a Compliance Officer for its subsidiary company Raymond James (USA) Ltd. (RJLU). RJLU is cross-border firm that is registered in the United States with the Securities and Exchange Commission as a Registered Investment Advisor and with the Financial Industry Regulatory...

  • Chief Security Officer

    5 days ago

    Old Toronto, Canada High Tech Genesis Full time

    Location: Ottawa, ON Canada Hybrid Term: Permanent High Tech Genesis is currently looking to hirea Chief Security Officer (CSO), you will play a pivotal role in safeguarding our organization's assets, mitigating risks, and ensuring compliance with regulatory standards. With your strategic vision and leadership, you will lead our security efforts, from...

  • Chief Security Officer

    5 days ago

    Old Toronto, Canada High Tech Genesis Full time

    Location: Ottawa, ON Canada Hybrid Term: Permanent High Tech Genesis is currently looking to hirea Chief Security Officer (CSO), you will play a pivotal role in safeguarding our organization's assets, mitigating risks, and ensuring compliance with regulatory standards. With your strategic vision and leadership, you will lead our security efforts, from...

  • Chief Security Officer

    5 days ago

    Old Toronto, Canada High Tech Genesis Full time

    Location: Ottawa, ON Canada Hybrid Term: Permanent High Tech Genesis is currently looking to hirea Chief Security Officer (CSO), you will play a pivotal role in safeguarding our organization's assets, mitigating risks, and ensuring compliance with regulatory standards. With your strategic vision and leadership, you will lead our security efforts, from...

  • Chief Capital Officer

    5 days ago

    Toronto, Canada Manpower Full time

    Empowering Tomorrow's Transit Leaders Manpower is proud to announce their partnership with the Toronto Transit Commission (TTC) in the search for their next Chief Capital Officer (CCO)! The Toronto Transit Commission (TTC) is committed to shaping the future of transportation in the Greater Toronto Area (GTA) and beyond. With a mission to provide safe,...

  • Chief Officer

    1 week ago

    Toronto, ON, Canada Toronto Transit Commission Full time

    Chief Capital Officer's Office (20000708) - Chief Capital Officer's Office & Staff (30000267) Weekly Hours: 35, Off Days: Saturday and Sunday Shift: Day Charla Sevitti, Manpower -The Toronto Transit Commission (TTC) is North America's third largest transit system and has been recognized as one of the top places to work in the GTA. Since 2022, the TTC has...

  • Chief Security Officer

    5 days ago

    Toronto, ON, Canada High Tech Genesis Full time

    Location: Ottawa, ON Canada Hybrid Term: Permanent High Tech Genesis is currently looking to hirea Chief Security Officer (CSO), you will play a pivotal role in safeguarding our organization's assets, mitigating risks, and ensuring compliance with regulatory standards. With your strategic vision and leadership, you will lead our security efforts,...

  • Chief Capital Officer

    5 days ago

    Toronto, Canada Manpower Full time

    Empowering Tomorrow's Transit LeadersManpower is proud to announce their partnership with the Toronto Transit Commission (TTC) in the search for their next Chief Capital Officer (CCO)!The Toronto Transit Commission (TTC) is committed to shaping the future of transportation in the Greater Toronto Area (GTA) and beyond. With a mission to provide safe,...

  • Compliance Officer

    1 month ago

    Toronto, Canada Royal Bank of Canada Full time

    **Come Work with Us!** At RBC, our culture is deeply supportive and rich in opportunity and reward. You will help our clients thrive and our communities prosper, empowered by a spirit of shared purpose. Whether you’re helping clients find new opportunities, developing new technology, or providing expert advice to internal partners, you will be doing work...

  • Chief Capital Officer

    2 days ago

    Toronto, Canada Manpower Full time

    Empowering Tomorrow's Transit LeadersManpower is proud to announce their partnership with the Toronto Transit Commission (TTC) in the search for their next Chief Capital Officer (CCO)!The Toronto Transit Commission (TTC) is committed to shaping the future of transportation in the Greater Toronto Area (GTA) and beyond. With a mission to provide safe,...

  • Chief Capital Officer

    4 days ago

    Toronto, Canada Manpower Full time

    Empowering Tomorrow's Transit LeadersManpower is proud to announce their partnership with the Toronto Transit Commission (TTC) in the search for their next Chief Capital Officer (CCO)!The Toronto Transit Commission (TTC) is committed to shaping the future of transportation in the Greater Toronto Area (GTA) and beyond. With a mission to provide safe,...

  • Chief Capital Officer

    4 days ago

    Toronto, Canada Manpower Full time

    Empowering Tomorrow's Transit LeadersManpower is proud to announce their partnership with the Toronto Transit Commission (TTC) in the search for their next Chief Capital Officer (CCO)!The Toronto Transit Commission (TTC) is committed to shaping the future of transportation in the Greater Toronto Area (GTA) and beyond. With a mission to provide safe,...

  • Chief Capital Officer

    5 days ago

    Toronto, Canada Manpower Full time

    Empowering Tomorrow's Transit Leaders Manpower is proud to announce their partnership with the Toronto Transit Commission (TTC) in the search for their next Chief Capital Officer (CCO)! The Toronto Transit Commission (TTC) is committed to shaping the future of transportation in the Greater Toronto Area (GTA) and beyond. With a mission to provide safe,...

  • Chief Capital Officer

    4 days ago

    Toronto, Canada Manpower Full time

    Empowering Tomorrow's Transit LeadersManpower is proud to announce their partnership with the Toronto Transit Commission (TTC) in the search for their next Chief Capital Officer (CCO)!The Toronto Transit Commission (TTC) is committed to shaping the future of transportation in the Greater Toronto Area (GTA) and beyond. With a mission to provide safe,...

  • Associate General Counsel

    4 weeks ago

    Toronto, Canada BMO Financial Group Full time

    100 King Street West Toronto Ontario,M5X 1A1 Reporting to the Chief Legal Counsel of BMO Global Asset Management, Canadian Private Wealth and Insurance, the Associate General Counsel (AGC) / Chief Compliance Officer (CCO) - Insurance provides and manages the delivery of legal and regulatory advice on products, initiatives, strategies, policies and...