Current jobs related to Compliance Officer - Mississauga, Ontario - iA Financial Group
-
Compliance Officer
4 weeks ago
Mississauga, Ontario, Canada Investment Planning Counsel Full timeCompliance Officer RoleInvestment Planning Counsel is seeking a highly skilled Compliance Officer to join our team. As a Compliance Officer, you will play a critical role in ensuring that our firm's policies and procedures are followed, and that our registrants are in compliance with regulatory requirements.Key Responsibilities:Conduct daily Tier 2 trade...
-
Compliance Officer
4 weeks ago
Mississauga, Ontario, Canada Investment Planning Counsel Full timeCompliance Officer RoleInvestment Planning Counsel is seeking a highly skilled Compliance Officer to join our team. As a Compliance Officer, you will play a critical role in ensuring that our firm's policies and procedures are followed, and that our registrants are in compliance with regulatory requirements.Key Responsibilities:Conduct daily Tier 2 trade...
-
Compliance Officer
4 weeks ago
Mississauga, Ontario, Canada Travel Industry Council of Ontario Full timeJob Title: Compliance OfficerWe are seeking a highly skilled Compliance Officer to join our team at the Travel Industry Council of Ontario. As a Compliance Officer, you will play a critical role in ensuring that our registrants comply with the Travel Industry Act, 2002 and Ontario Regulation 26/05.Job Purpose:The primary responsibility of this role is to...
-
Compliance Officer
4 weeks ago
Mississauga, Ontario, Canada Travel Industry Council of Ontario Full timeJob Title: Compliance OfficerWe are seeking a highly skilled Compliance Officer to join our team at the Travel Industry Council of Ontario. As a Compliance Officer, you will play a critical role in ensuring that our registrants comply with the Travel Industry Act, 2002 and Ontario Regulation 26/05.Job Purpose:The primary responsibility of this role is to...
-
Compliance Officer
1 month ago
Mississauga, Ontario, Canada AtkinsRéalis Full timeJob Title: Compliance OfficerJob Summary:AtkinsRéalis is seeking a highly skilled Compliance Officer to join our team. As a Compliance Officer, you will be responsible for ensuring the efficient operation of our nuclear facilities by planning, integrating, and managing technical scope assignments. You will work closely with a multi-disciplinary team to...
-
Compliance Officer
4 weeks ago
Mississauga, Ontario, Canada AtkinsRéalis Full timeJob Title: Compliance OfficerJob Summary:AtkinsRéalis is seeking a highly skilled Compliance Officer to join our team. As a Compliance Officer, you will be responsible for ensuring the efficient operation of our nuclear facilities by planning, integrating, and managing technical scope assignments. You will work closely with a multi-disciplinary team to...
-
Compliance Officer
1 month ago
Mississauga, Ontario, Canada AtkinsRéalis Full timeJob Title: Compliance OfficerJob Summary:AtkinsRéalis is seeking a highly skilled Compliance Officer to join our team. As a Compliance Officer, you will be responsible for ensuring the efficient operation of our nuclear facilities by planning, integrating, and managing technical scope assignments. You will work closely with a multi-disciplinary team to...
-
Compliance Officer
1 month ago
Mississauga, Ontario, Canada AtkinsRéalis Full timeJob Title: Compliance OfficerJob Summary:AtkinsRéalis is seeking a highly skilled Compliance Officer to join our team. As a Compliance Officer, you will be responsible for ensuring the efficient operation of our nuclear facilities by planning, integrating, and managing technical scope assignments. You will work closely with a multi-disciplinary team to...
-
Compliance Officer
1 month ago
Mississauga, Ontario, Canada AtkinsRéalis Full timeJob Title: Compliance OfficerJob Summary:AtkinsRéalis is seeking a highly skilled Compliance Officer to join our team. As a Compliance Officer, you will be responsible for ensuring the efficient operation of our nuclear facilities by planning, integrating, and managing technical scope assignments. You will work closely with a multi-disciplinary team to...
-
Compliance Officer
2 months ago
Mississauga, Ontario, Canada GardaWorld Full timeJob SummaryGardaWorld is seeking a Quality Assurance Specialist to oversee compliance with Standard Operating Procedures (SOPs) and ensure the operation meets client expectations. The ideal candidate will have a keen eye for detail and excellent communication skills.Key ResponsibilitiesPerform audits and engage in active oversight to ensure SOP compliance...
-
Compliance Officer
2 months ago
Mississauga, Ontario, Canada GardaWorld Full timeJob SummaryGardaWorld is seeking a Quality Assurance Specialist to oversee compliance with Standard Operating Procedures (SOPs) and ensure the operation meets client expectations. The ideal candidate will have a keen eye for detail and excellent communication skills.Key ResponsibilitiesPerform audits and engage in active oversight to ensure SOP compliance...
-
Financial Compliance Officer
1 month ago
Mississauga, Ontario, Canada Travel Industry Council of Ontario Full timeJob Title: Financial Compliance OfficerWe are seeking a highly skilled Financial Compliance Officer to join our team at the Travel Industry Council of Ontario. As a key member of our compliance team, you will be responsible for ensuring that our registrants are in compliance with the Travel Industry Act, 2002 and Ontario Regulation 26/05.Key...
-
Financial Compliance Officer
4 weeks ago
Mississauga, Ontario, Canada Travel Industry Council of Ontario Full timeJob SummaryWe are seeking a highly skilled and experienced Compliance Officer to join our team at the Travel Industry Council of Ontario. As a Compliance Officer, you will be responsible for ensuring that our registrants comply with the Travel Industry Act, 2002 and Ontario Regulation 26/05. This is a full-time position that requires a strong understanding...
-
Financial Compliance Officer
1 month ago
Mississauga, Ontario, Canada Travel Industry Council of Ontario Full timeJob Title: Financial Compliance OfficerWe are seeking a highly skilled Financial Compliance Officer to join our team at the Travel Industry Council of Ontario. As a key member of our compliance team, you will be responsible for ensuring that our registrants are in compliance with the Travel Industry Act, 2002 and Ontario Regulation 26/05.Key...
-
Financial Compliance Officer
2 months ago
Mississauga, Ontario, Canada Travel Industry Council of Ontario Full timeJob SummaryWe are seeking a highly skilled Compliance Officer to join our team at the Travel Industry Council of Ontario. As a Compliance Officer, you will play a critical role in ensuring that our registrants comply with the Travel Industry Act, 2002 and Ontario Regulation 26/05.Key ResponsibilitiesConduct financial statement bench reviews to ensure...
-
Administrative Assistant
2 weeks ago
Mississauga, Ontario, Canada Carrier Compliance Services Inc. Full timeJob Title: Administrative Assistant - Office CoordinatorWe are seeking an experienced Administrative Assistant - Office Coordinator to join our team at Carrier Compliance Services Inc. The successful candidate will be responsible for providing administrative support to our staff, ensuring the smooth operation of our office.Key Responsibilities:Provide...
-
Administrative Assistant
2 weeks ago
Mississauga, Ontario, Canada Carrier Compliance Services Inc. Full timeJob Title: Administrative Assistant - Office CoordinatorWe are seeking an experienced Administrative Assistant - Office Coordinator to join our team at Carrier Compliance Services Inc. in Anglais.Key Responsibilities:Administrative Support: Provide administrative support to our team, including scheduling appointments, managing calendars, and preparing...
-
Administrative Assistant
2 weeks ago
Mississauga, Ontario, Canada Carrier Compliance Services Inc. Full timeJob Title: Administrative Assistant - Office CoordinatorWe are seeking an experienced Administrative Assistant to join our team at Carrier Compliance Services Inc. as an Office Coordinator. The successful candidate will be responsible for providing administrative support to our team, including scheduling appointments, preparing correspondence, and...
-
Administrative Assistant
2 weeks ago
Mississauga, Ontario, Canada Carrier Compliance Services Inc. Full timeJob SummaryWe are seeking an Administrative Assistant to join our team at Carrier Compliance Services Inc. The successful candidate will be responsible for providing administrative support to our staff, including coordinating seminars, preparing minutes of meetings, and maintaining office procedures and routines.Key ResponsibilitiesArrange and coordinate...
-
Administrative Assistant
2 weeks ago
Mississauga, Ontario, Canada Carrier Compliance Services Inc. Full timeJob SummaryWe are seeking an experienced Administrative Assistant to join our team at Carrier Compliance Services Inc. As an Administrative Assistant, you will be responsible for providing administrative support to our team, including arranging seminars, conferences, and meetings, recording and preparing minutes, and determining and establishing office...
Compliance Officer
2 months ago
We are seeking a detail-oriented Compliance Specialist to ensure regulatory compliance and provide guidance to advisors in the mutual fund industry.
Key Responsibilities:- Develop and maintain compliance policies and procedures across all offices.
- Review and approve new account openings to ensure adherence to regulatory requirements.
- Ensure suitability requirements are met and provide supervision of trades and advice given to clients.
- Supervise Branch Manager and/or Representative activities to ensure compliance.
- Review and follow up on previous day's trades to identify potential issues.
- Escalate questionable trades as necessary and complete KYC update review and approval.
- Provide training and education to the field on compliance matters.
- Offer support to other Corporate Branch Managers on the team and provide coverage as needed.
- Collaborate with the order affirmation team and other compliance teams to ensure seamless operations.
- Monitor trends, communicate findings, and implement corrective actions to maintain compliance.
- Act as a resource for the field on compliance-related matters.
- University degree or equivalent post-secondary education.
- Excellent knowledge of the mutual fund industry and regulatory requirements.
- Minimum 2-3 years of compliance supervision experience and 3-5 years in the Mutual Fund Industry.
- Completion of the Canadian Investment Funds Course and Exempt Market Products Course, or Canadian Securities Course.
- Completion of the Branch Managers Course or either the Officers, Partners and Directors (OPD) Course or Partners, Directors and Officers (PDO) Course.
- Ability to understand, analyze, and interpret Regulatory legislation.
- Advanced level of English and French language skills, with the ability to communicate effectively in both languages.
iA Financial Group is a leading financial services company committed to diversity and inclusion. We strive to create a workplace that is inclusive for all, regardless of ethnic origin, nationality, language, religious beliefs, gender, sexual orientation, age, marital status, family situation, or physical or mental disability.
We are a key player in the financial services industry in Canada and the United States, with over $200 billion in assets and a strong focus on technological innovation. Our company culture is built on the values of innovation, teamwork, and customer satisfaction.
