Branch Compliance Auditor
1 month ago
IronMaxx Nutrition GmbH & Co. KG is a prominent player in the nutritional supplement industry, dedicated to providing high-quality products and services. We are currently seeking a Branch Compliance Auditor to enhance our Compliance team, reporting directly to the Branch Compliance Manager.
Key Responsibilities- Conduct thorough onsite evaluations of branch offices within the Private Client Group across the United States.
- Implement the Branch Examination Program effectively to ensure adherence to established standards.
- Travel to various branch locations to assess office documentation, completed surveys, and operational procedures, ensuring compliance with internal policies, SRO regulations, and relevant laws.
- Execute additional reviews and projects as required, maintaining a high standard of quality and timeliness.
- Travel requirements will involve at least 40% domestic travel to branch offices.
The ideal candidate will possess:
- In-depth knowledge of SEC, FINRA, and state securities regulations.
- A strong proficiency in technology, particularly with MS Office Suite (Word, Excel, PowerPoint, and Outlook).
The salary range for this position is competitive and reflects the diverse factors considered in salary decisions, including skills, qualifications, experience, and organizational needs.
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Branch Compliance Auditor
1 month ago
Old Toronto, Ontario, Canada IronMaxx Nutrition GmbH & Co. KG Full timeAbout Us: IronMaxx Nutrition GmbH & Co. KG is a prominent player in the health and wellness sector, specializing in high-quality nutritional supplements. Our commitment to excellence and innovation has established us as a trusted name in the industry, dedicated to providing top-tier products that support our customers' fitness and health goals. Position...
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Compliance Officer
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Toronto, Ontario, Canada CI Financial Full time{"title": "Senior Compliance Officer, Branch Audit", "description": "Job OverviewWe are seeking a Senior Compliance Officer, Branch Audit to conduct branch audits across Canada and facilitate branch Professional Development Training (PD days) presenting compliance topics to Assante Branch Managers, Advisors and staff.Key ResponsibilitiesTravel to assigned...
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Toronto, Ontario, Canada CI Financial Full timeJob OverviewWe are seeking a highly skilled Compliance Specialist to join our Compliance team at CI Financial. In this role, the successful candidate will be responsible for conducting branch audits across Canada and facilitating branch Professional Development Training (PD days) presenting compliance topics to Assante Branch Managers, Advisors and staff.Key...
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Old Toronto, Ontario, Canada DUCA Full timeAbout DUCADUCA is a vibrant and exciting credit union that lives its "profits with a purpose" philosophy in every financial transaction, product, interest rate, and community initiative we offer. Founded in 1954, we have grown from a single branch credit union in Toronto to 19 branches across Southern Ontario with over 85,000 members we are proud to serve.We...
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Internal Auditor
3 days ago
Old Toronto, Ontario, Canada DUCA Full timeAbout DUCADUCA is a vibrant and exciting credit union that lives its "profits with a purpose" philosophy in every financial transaction, product, interest rate, and community initiative we offer. Founded in 1954, we have grown from a single branch credit union in Toronto to 19 branches across Southern Ontario with over 85,000 members we are proud to serve.We...
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Toronto, Ontario, Canada IFG International Financial Group Ltd Full timeIT Auditor Job Description **Job Summary** We are seeking an experienced IT Auditor to join our team at IFG International Financial Group Ltd. The successful candidate will be responsible for conducting audits of IT processes and systems to ensure compliance with regulatory requirements and internal policies. **Key Responsibilities** * Conduct audits of...
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