Compliance Manager
6 months ago
**About the Role -Compliance Manager**
- About us:_
Moomoo is a globally recognized, award-winning, all-in-one stock trading app that empowers proactive retail traders with professional-level data and tools. Our mission is to revolutionize the retail investing experience through technological innovations. With over 20 million users worldwide, Moomoo has garnered immense popularity, especially in the U.S., Hong Kong, Singapore, Japan, Malaysia, and Australia. In Canada, Moomoo offers innovative investment products and a unique trading experience.
- Overview:_
**Responsibilities**:
- Demonstrate a comprehensive understanding of CIRO dealer rules, UMIR rules, Montreal Exchange, FINRA and SEC rules.
- Supervise client onboarding and trade execution, ensuring compliance with all relevant regulatory requirements and internal policies.
- Oversee and actively participate in the development of compliance-related policies, procedures, manuals, systems, and training initiatives.
- Oversee the efficient management of client complaints and registrations, ensuring compliance with regulatory standards.
- Develop and maintain a robust internal compliance program.
- Offer expert compliance support for interpreting exchange rules, CIRO & FINRA regulations.
- Provide strategic compliance advice and direction to senior management.
- Ensure compliance with governing regulations in Canada and internal policies, mitigating the risk of financial loss, reputational damage, and regulatory sanctions.
- Work proactively to resolve issues and implement corrective measures.
**Requirements and skills**:
- Bachelor's degree in Business, Finance, Law, or a related field.
- Relevant licensed Compliance Officer designation.
- Minimum of 5 years of experience in a compliance role within an CIRO-regulated firm.
- Profound knowledge of CIRO dealer rules, UMIR rules, Montreal Exchange, and FINRA rules.
- Leadership experience leading a team and working with cross functional teams/vendors.
- Fluent in English and preferably also French.
**Job Types**: Full-time, Permanent
**Salary**: From $80,000.00 per year
**Benefits**:
- Casual dress
- Company events
- Dental care
- Extended health care
- Life insurance
- Paid time off
- Vision care
Schedule:
- Monday to Friday
Supplemental pay types:
- Bonus pay
- Overtime pay
**Education**:
- Bachelor's Degree (preferred)
**Experience**:
- CIRO-regulated firm: 5 years (required)
- Compliance or Risk at a Canadian Financial Institution: 8 years (required)
Ability to Commute:
- North York, ON M2N 6L7 (required)
Work Location: In person
-
Compliance Manager
7 months ago
North York, Canada Amptal Corp. Full time**About us** Amptal Corp. is a staffing and recruiting agency based in Toronto, Canada. This position we are hiring for is a Bank based in North York, Toronto. Compliance Manager - Area of Responsibilities_ - Conduct client due-diligence at the time of establishing correspondent banking relationships and entity clients. - Conduct risk assessment of entity...
-
Manager Compliance
6 months ago
North York, Canada ICICI Bank Canada Full timeICICI Bank Canada is a wholly-owned subsidiary of ICICI Bank Limited which has its headquarters in Mumbai, India. ICICI Bank Limited is a leading private sector bank in India.. Established in December 2003, ICICI Bank Canada is a full-service direct bank with an asset base of about C$6.5 billion as at December 31, 2019, and it is a member of the Canada...
-
Manager, Compliance
7 months ago
North York, Canada FACILITY ASSOCIATION Full timeFacility Association (“FA”) is an unincorporated non-profit association of insurers. FA operates in Yukon, Nunavut, North West Territories, Alberta, Ontario, Nova Scotia, New Brunswick, Prince Edward Island and Newfoundland and Labrador. Every insurer licensed to write automobile liability insurance in these jurisdictions is a member of FA. The affairs...
-
Quality Compliance Manager
6 months ago
North York, Canada Dalton Pharma Services Full time**Quality Compliance Manager** Dalton Pharma Services is a leading provider of integrated pharmaceutical discovery, development and manufacturing services to the biotechnology and pharmaceutical industries. We develop and manufacture innovative new products on a contract basis for our customers that bring enhanced therapeutic value and impact the lives of...
-
Manager, Corporate Compliance
3 months ago
North York, Canada Apotex Inc. Full time**About Apotex Inc.** Apotex Inc. is a Canadian-based global health company that produces high-quality, affordable medicines for patients around the world. Apotex employs almost 7,200 people worldwide in manufacturing, R&D, and commercial operations. Apotex medicines are accessible to patients in more than 75 countries globally. Through vertical...
-
Compliance Officer
7 months ago
North York, Canada QUALIFIED FINANCIAL SERVICES Full time**About you**: You’re a committed operational expert who understands the role of compliance to protect a financial security advisor and their practice. While you may not have a resume full of compliance experience, you do have operational insurance industry experience and you’re committed to learning and growing. You bring your best every day and are...
-
Compliance Specialist
6 months ago
North York, Canada Porsche Centre North Toronto Full timeA Privacy and Compliance Specialist is a professional responsible for ensuring that a company or organization adheres to all applicable laws, regulations, and internal policies relevant to its operations. Their primary role is to minimize compliance, privacy and regulatory risk by reviewing, studying, developing, implementing, and overseeing compliance...
-
North York, Canada Shinhan Bank Canada Full timeChief Compliance Officer/ Vice President, Compliance The Chief Compliance Officer (“CCO”) reports directly to the Governance and Review Conduct Committee (“GCRC”) and the Board of directors with an administrative reporting line to the CEO and coordinates all of the Bank’s compliance activities. The Chief Compliance Officer ensures that key...
-
North York, Canada Shinhan Bank Canada Full timeChief Compliance Officer/ Vice President, Compliance The Chief Compliance Officer (“CCO”) reports directly to the Governance and Review Conduct Committee (“GCRC”) and the Board of directors with an administrative reporting line to the CEO and coordinates all of the Bank’s compliance activities. The Chief Compliance Officer ensures that key...
-
North York, Canada Shinhan Bank Canada Full timeChief Compliance Officer/ Vice President, Compliance The Chief Compliance Officer (“CCO”) reports directly to the Governance and Review Conduct Committee (“GCRC”) and the Board of directors with an administrative reporting line to the CEO and coordinates all of the Bank’s compliance activities. The Chief Compliance Officer ensures that key...
-
North York, Canada Shinhan Bank Canada Full timeChief Compliance Officer/ Vice President, Compliance The Chief Compliance Officer (“CCO”) reports directly to the Governance and Review Conduct Committee (“GCRC”) and the Board of directors with an administrative reporting line to the CEO and coordinates all of the Bank’s compliance activities. The Chief Compliance Officer ensures that key...
-
North York, Canada Shinhan Bank Canada Full timeChief Compliance Officer/ Vice President, Compliance The Chief Compliance Officer (“CCO”) reports directly to the Governance and Review Conduct Committee (“GCRC”) and the Board of directors with an administrative reporting line to the CEO and coordinates all of the Bank’s compliance activities. The Chief Compliance Officer ensures that key...
-
Compliance Analyst
7 months ago
North York, Canada iA Groupe financier iA Financial Group Full time**PPI company overview**: **PPI (an independent subsidiary of iA Financial)** is an Insurance Marketing Organization that sits between independent advisors and insurance companies. From coast-to-coast, we provide value-added services and support such as digital tools, education, marketing, and processing, to help Advisors elevate and grow their business with...
-
Privacy & Compliance Specialist
7 months ago
North York, Canada Porsche Centre North Toronto Full time**Position Objective**: The Privacy and Compliance Specialist is responsible for ensuring that the company adheres to all applicable laws, regulations, and internal policies relevant to its operations. Their primary role is to minimize compliance, privacy, and regulatory risk by reviewing, developing, implementing, and overseeing compliance directives under...
-
Legal Compliance Manager/counsel
6 months ago
North York, Canada HomeLife Full timeJob Summary: **Duties**: - Manage and oversee all legal matters within the organization - Provide legal advice and support to the management team - Draft and review legal documents, contracts, and agreements - Conduct legal research and stay updated on changes in laws and regulations - Handle administrative tasks such as filing, data entry, and document...
-
Compliance Support Officer
2 weeks ago
North York, Canada RPRA - Resource Productivity & Recovery Authority Full timeAre you passionate about protecting the environment? Do you go out of your way to reduce, reuse, and recycle? Do you envision a waste-free future? If you answered yes to those questions, then we’d like to hear from you. We are the Resource Productivity and Recovery Authority (RPRA), Ontario’s circular economy regulator. Our vision is a circular...
-
Advisor, Compliance
4 months ago
North York, Canada Shinhan Bank Canada Full time**Advisor, Compliance (RCM)** **Primary Purpose of the Role/Job** The Advisor, Compliance, will report directly to and assist the Director, Compliance (RCM) in matters relating to applicable laws and regulations such as the Bank Act (“BA”); Accessible Canada Act; Proceeds of Crime (Money Laundering) and Terrorist Financing Regulations (“PCMLTFR”)...
-
Privacy & Compliance Specialist
6 months ago
North York, Canada Porsche Centre North Toronto Full time**Position Objective**: A Privacy and Compliance Specialist is a professional responsible for ensuring that a company or organization adheres to all applicable laws, regulations, and internal policies relevant to its operations. Their primary role is to minimize compliance, privacy and regulatory risk by reviewing, studying, developing, implementing, and...
-
Academic Compliance Officer
6 months ago
North York, Canada ABM College Full timeABM College is one of the leading career training institutions in Alberta, Manitoba and Ontario. Throughout its history, ABM College has provided students with professional training, academic knowledge, and the right skill set to meet employment market demands. ABM College is currently looking for a highly experienced, dynamic and great team player to fill...
-
Academic Compliance Officer
7 months ago
North York, Canada ABM College Full timeABM College is one of the leading career training institutions in Alberta, Manitoba and Ontario. Throughout its history, ABM College has provided students with professional training, academic knowledge, and the right skill set to meet employment market demands. ABM College is currently looking for a highly experienced, dynamic and great team player to fill...