Current jobs related to Senior Compliance Officer - Toronto, Ontario - CI Financial

  • Senior Compliance Officer

    1 month ago

    Toronto, Ontario, Canada CI Financial Full time

    Job Title: Senior Compliance OfficerCI Financial is seeking a highly skilled Senior Compliance Officer to join our team. As a key member of our Compliance department, you will play a critical role in ensuring our organization's compliance with securities industry rules and regulations.Key Responsibilities:Provide strategic support to the Director, Compliance...

  • Senior Compliance Officer

    1 month ago

    Toronto, Ontario, Canada CI Financial Full time

    Job Title: Senior Compliance OfficerCI Financial is seeking a highly skilled Senior Compliance Officer to join our team. As a key member of our Compliance department, you will play a critical role in ensuring our organization's compliance with securities industry rules and regulations.Key Responsibilities:Provide strategic support to the Director, Compliance...

  • Senior Compliance Officer

    4 weeks ago

    Toronto, Ontario, Canada CI Financial Full time

    Job Title: Senior Compliance OfficerAt CI Financial, we're committed to creating a workplace that's inclusive, empowering, and inspiring. As a Senior Compliance Officer, you'll play a critical role in fostering a culture of compliance within our organization, ensuring we meet the highest standards of regulatory requirements.Key Responsibilities:Provide...

  • Senior Compliance Officer

    4 weeks ago

    Toronto, Ontario, Canada Futran Tech Solutions Pvt. Ltd. Full time

    Senior KYC OfficerFutran Tech Solutions Pvt. Ltd. is seeking a highly skilled Senior KYC Officer to join our team.Key Responsibilities:Ensure the accuracy and completeness of all data, documents, and information collected as part of the due diligence process.Conduct thorough risk assessments and develop effective mitigation strategies to prevent money...

  • Senior Compliance Officer

    1 month ago

    Toronto, Ontario, Canada CI Financial Full time

    Job Title: Senior Compliance OfficerCI Financial is seeking a highly skilled Senior Compliance Officer to join our team. As a key member of our Compliance department, you will play a critical role in ensuring our organization's compliance with securities industry rules and regulations.Key Responsibilities:Provide strategic support to the Director, Compliance...

  • Senior Compliance Officer

    1 month ago

    Toronto, Ontario, Canada CI Financial Full time

    Job Title: Senior Compliance OfficerCI Financial is seeking a highly skilled Senior Compliance Officer to join our team. As a key member of our Compliance department, you will play a critical role in ensuring our organization's compliance with securities industry rules and regulations.Key Responsibilities:Provide strategic support to the Director, Compliance...

  • Senior Compliance Officer

    4 weeks ago

    Toronto, Ontario, Canada Futran Tech Solutions Pvt. Ltd. Full time

    Senior KYC OfficerFutran Tech Solutions Pvt. Ltd. is seeking a highly skilled Senior KYC Officer to join our team. As a Senior KYC Officer, you will play a critical role in ensuring the integrity of our customer onboarding process.Key Responsibilities:Verify customer identities and ensure compliance with regulatory requirements.Conduct thorough due diligence...

  • Senior Compliance Officer

    4 weeks ago

    Toronto, Ontario, Canada Futran Tech Solutions Pvt. Ltd. Full time

    Senior KYC OfficerFutran Tech Solutions Pvt. Ltd. is seeking a highly skilled Senior KYC Officer to join our team. As a Senior KYC Officer, you will play a critical role in ensuring the integrity of our customer onboarding process.Key Responsibilities:Verify customer identities and ensure compliance with regulatory requirements.Conduct thorough due diligence...

  • Senior Compliance Officer

    3 weeks ago

    Toronto, Ontario, Canada CI Financial Full time

    At CI Financial, we are seeking a Senior Compliance Officer to foster a culture of compliance within our organization. This role involves assisting Compliance management with policy and procedures, compliance technology, and regulatory initiatives.Key Responsibilities:Provide strategic support to the Director, Compliance and Senior Management on...

  • Senior Compliance Officer

    4 weeks ago

    Toronto, Ontario, Canada IA Financial Group Full time

    Job Summary:We are seeking a highly skilled Senior Compliance Officer to join our team at IA Financial Group. The successful candidate will be responsible for ensuring compliance policies and procedures are maintained at each office, reviewing and approving new account openings, and providing supervision of trades and advice given to clients.Key...

  • Senior Compliance Officer

    5 months ago

    Toronto, Ontario, Ontario, Canada CI Financial Full time

    JOB OVERVIEWWe are currently seeking a Senior Compliance Officer, CI Wealth Compliance. In this role, the successful candidate is expected to encourage and foster a culture of compliance within the organization in accordance with securities industry rules and regulations. The incumbent will be responsible for assisting Compliance management with policy and...

  • Senior Compliance Officer

    3 weeks ago

    Toronto, Ontario, Canada Wellington-Altus Full time

    Job Summary:The Senior Compliance Officer will be responsible for implementing an efficient and effective program of advice, education, and supervision for Wellington-Altus Private Wealth to ensure the firm and its registrants continue to adhere to all regulatory requirements and internal policies and procedures.Key Responsibilities:Conducting tier 1...

  • Compliance Officer

    1 month ago

    Toronto, Ontario, Canada CB Canada Full time

    Job Title: Compliance Analyst/OfficerCB Canada is seeking a highly skilled Compliance Analyst/Officer to join our team in Toronto, ON. As a key member of our Canadian Banking Compliance (CBC) team, you will play a critical role in ensuring the bank's compliance with regulatory requirements and guidelines.Key Responsibilities:Provide guidance and oversight to...

  • Compliance Officer

    1 month ago

    Toronto, Ontario, Canada CB Canada Full time

    Job Title: Compliance Analyst/OfficerCB Canada is seeking a highly skilled Compliance Analyst/Officer to join our team in Toronto, ON. As a key member of our Canadian Banking Compliance (CBC) team, you will play a critical role in ensuring the bank's compliance with regulatory requirements and guidelines.Key Responsibilities:Provide guidance and oversight to...

  • Senior Compliance Officer, Programs

    4 weeks ago

    Toronto, Ontario, Canada Scotiabank Full time

    Job SummaryScotiabank is seeking a Senior Compliance Officer to contribute to the overall success of the Global Banking & Markets and Treasury Compliance Canada Program.Key ResponsibilitiesWork closely with the Compliance team to develop and implement compliance strategies and programs.Contribute to the design and implementation of compliance training...

  • Compliance Officer

    3 weeks ago

    Toronto, Ontario, Ontario, Canada Angular Directions Full time

    We are working alongside one of our clients to help them find a Compliance Officer. They are a growing international e-wallet and payment services provider, is looking for a leading Compliance Officer for its Canadian office, based in Toronto, to provide effective leadership and continued development to ensure its business processes and procedures adhere to...

  • Senior Compliance Officer

    2 weeks ago

    Toronto, Ontario, Canada Scotiabank Full time

    Job Title: Senior Compliance Analyst, PayrollJob Summary:As a Senior Compliance Analyst, Payroll at Scotiabank, you will play a critical role in supporting Payroll compliance projects and initiatives to ensure data accuracy and efficiency within SAP. This position requires a highly motivated individual with a strong understanding of Payroll compliance...

  • Senior Compliance Officer

    3 weeks ago

    Old Toronto, Ontario, Canada iA Financial Group Full time

    Job Summary:As a Senior Compliance Officer at iA Financial Group, you will play a key role in ensuring the company's compliance policies and procedures are maintained at each office. Your responsibilities will include reviewing and approving new account openings, ensuring compliance with suitability requirements, and providing training and education to the...

  • Compliance Officer

    4 weeks ago

    Toronto, Ontario, Canada CB Canada Full time

    Job Title: Compliance Analyst/OfficerCB Canada is seeking a highly skilled Compliance Analyst/Officer to join our team in Toronto, ON. As a key member of our Canadian Banking Compliance team, you will be responsible for providing guidance, oversight, and expertise to our businesses on regulatory requirements and controls.Key Responsibilities:Provide subject...

  • Senior Compliance Officer, Programs

    1 month ago

    Toronto, Ontario, Canada Scotiabank Full time

    Job SummaryContribute to the success of the Global Banking & Markets and Treasury (GBM&T) Compliance Canada Program as a Senior Compliance Officer. Work closely with the team to ensure compliance with regulatory requirements and maintain a high-performing culture.Key ResponsibilitiesSupport the development and implementation of compliance policies and...

Senior Compliance Officer

2 months ago

Toronto, Ontario, Canada CI Financial Full time
Job Overview

We are seeking a Senior Compliance Officer to foster a culture of compliance within our organization, adhering to securities industry rules and regulations. The successful candidate will assist Compliance management with policy and procedures, compliance technology, and regulatory initiatives at CI's various wealth companies.

Key Responsibilities
  • Provide strategic support to the Director, Compliance and Senior Management on Compliance-related matters.
  • Contribute to the design, development, and launch of policies and procedures related to business conduct compliance, trade conduct compliance, and managed account supervision.
  • Support the development, implementation, and continuous improvement of Compliance's related programs, technology, tools, and resources to meet regulatory requirements and achieve organizational goals.
  • Lead small to large compliance technology initiatives.
  • Maintain current knowledge and provide ongoing support to Compliance applications.
  • Provide guidance and training to Compliance and Operational teams, and sometimes directly to advisors and branch staff.
  • Ensure system integrity through testing.
  • Be a subject matter expert on firm's systems.
  • Complete other duties and projects as assigned by Director.
Requirements
  • Minimum 5 years securities industry experience.
  • Experience with IIROC and MFDA.
  • University or college degree (or equivalent experience).
  • Completion of applicable securities industry courses offered by the Canadian Securities Institute.
  • Demonstrated knowledge and understanding of relevant securities legislation and SRO rules and regulations.
  • Previous project management experience considered a strong asset.
  • Strong critical thinking skills.
  • Ability to work independently and under pressure.
  • Effective communication and articulation skills.
  • Strong conflict resolution, organizational, and communication skills.
  • Extensive knowledge of MS Office applications.
  • Familiarity and experience working with common securities transaction processing systems.
What We Offer
  • Recognition and compensation.
  • Training and development opportunities.
  • Health and well-being programs.
  • Open communication and feedback.