Hybrid Compliance Officer – Registration

Compliance Officer (Registration Specialist) Be among the first 25 applicants Division Description Reference 25000LN4 Responsibilities Assist employees in obtaining proper registrations. Work with vendors in procuring training materials and classes for registration candidates. Prepare supervisory reporting to line managers and breach reporting to senior...

Division Description: The Compliance department acts as Second Line of Defense of the corporate banking, investment banking and broker–dealer activities across Societe Generale’s operations, reporting on the compliance risks and issues to local, regional, and head office management. The staff provide the business lines with guidance on relevant laws,...

Division Description: The Compliance department acts as Second Line of Defense of the corporate banking, investment banking and broker–dealer activities across Societe Generale’s operations, reporting on the compliance risks and issues to local, regional, and head office management. The staff provide the business lines with guidance on relevant laws,...

Position Title: Registration OfficerDepartment: RegistrationLocation: MontrealStatus: Permanent Full-time Core Responsibilities:Reviews registration filings of moderate complexity.Conducts registration gatekeeper functions through quality, timely and consistent registration review of NRD applications and notices.Reviews information relevant to registration...

A global financial institution is seeking a Compliance Officer (Registration Specialist) to assist in regulatory registrations and prepare supervisory reports. The ideal candidate has at least 3 years of experience with FINRA and SEC processes, is proficient in Excel, and possesses a bachelor's degree. This role offers competitive benefits, including...

A boutique healthcare consulting firm in Montreal is seeking an Associate Consultant to support compliance programs. Responsibilities include drafting policies, conducting audits, and providing legal research. The ideal candidate holds a Bachelor's degree and has experience in compliance or healthcare sectors. This full-time position offers a competitive...

Votre équipe / Your team Pictet Montréal, faisant partie du Groupe Pictet (une banque privée suisse) forte de plus de 50 ans d’expertise en négociation de titres—cherche à renforcer son équipe de Conformité. La mission du département de Conformité est de prévenir et de détecter les infractions aux réglementations, de promouvoir des pratiques...

Job Description - Compliance Officer (2500731) Compliance Officer - 2500731 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 solutions to their wealth...

Job Description - Compliance Officer (2500731) Compliance Officer - 2500731 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 solutions to their wealth...

Director –Compliance Coordination Officer (CCO), SG Canada Compliance Permanent contract Montreal, Quebec, Canada Hybrid Reference 25000FU8 Start date 2025/10/06 Publication date 2025/07/29 Responsibilities ABOUT SOCIETE GENERALE:Société Générale Corporate & Investment Banking (SGCIB) is one of the largest investment banks in the world and is present...