Compliance Examiner

40 Temperance StreetSuite 2600Toronto, ON M5H0B4, CANDescriptionPosition Title: Business Conduct Compliance Examiner (ID)Department: Business Conduct ComplianceLocation: TorontoStatus: Permanent, Full-time (Hybrid)As a self-regulatory organization, the Canadian Investment Regulatory Organization (CIRO) takes our responsibility of setting high-quality...

40 Temperance StreetSuite 2600Toronto, ON M5H0B4, CANDescriptionPosition Title: Business Conduct Compliance Examiner (ID)Department: Business Conduct ComplianceLocation: TorontoStatus: Permanent, Full-time (Hybrid)As a self-regulatory organization, the Canadian Investment Regulatory Organization (CIRO) takes our responsibility of setting high-quality...

TD Bank is seeking a highly skilled and experienced Compliance Manager to join our team. As a key member of the Wealth Governance & Control team, this individual will be responsible for supporting the regulatory examination process for TD Wealth Lines of Businesses and control partners.About the RoleThis exciting opportunity is part of TD's commitment to...

Lieu de travail :Toronto, Ontario, CanadaHoraire :37.5 heuresSecteur d'activité :Gouvernance et ContrôlesDétails de la rémunération :$91,200 - $136,800 CADLa TD a à cœur d'offrir une rémunération juste et équitable à tous les collègues. Les occasions de croissance et le perfectionnement des compétences sont des caractéristiques essentielles de...

Senior Financial ExaminerRogertson & Company Ltd. is currently seeking a Senior Financial Examiner to join our team. As a key member of our organization, you will be responsible for ensuring the accuracy and integrity of financial data.Key Responsibilities:Analyze financial statements and identify areas for improvement.Develop and implement effective...

Job DescriptionThe Building Plans Examiner & Inspector will be responsible for examining, reviewing and approving building, sign plans and specifications submitted for compliance with the City's Zoning bylaws, Ontario Building Code and other applicable bylaws and legislation.Examine, review, sign and approve building permits within specified timelines for...

Work Location: Toronto, Ontario, CanadaHours: 37.5Line of Business: Governance & ControlPay Details: $91,200 - $136,800 CADTD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices...

Work Location: Toronto, Ontario, CanadaHours: 37.5Line of Business: Governance & ControlPay Details: $91,200 - $136,800 CADTD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices...

Job SummaryCIRo/OCRI is seeking a highly skilled Regulatory Compliance Specialist to join our dynamic team. The successful candidate will be responsible for conducting field reviews of sales and business conduct compliance activities of Dealer Member head office and business locations.In this role, you will interpret and apply CIRo Dealer Member Rules to the...

OVERVIEW JOB PURPOSE Counsel, Licensing Examinations is responsible for activities related to the licensing examinations for lawyers and paralegals. This includes acting as a legal and operational resource in the areas of examination accommodations, examination administration, and special projects related to licensing examinations. Counsel assists with the...

Risk & Control Examination SpecialistRisk & Control Examination SpecialistWork Location: Toronto, Ontario, CanadaHours: 37.5Line of Business: Technology SolutionsPay Details: $91,200 - $136,800 CADTD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of...

Job Description: Manager, RJLU ComplianceThe Manager, RJLU Compliance role is a critical position at Raymond James that oversees all aspects of compliance oversight as set out in the rules and regulations established by FINRA, SEC, and U.S. state securities authorities.Key Responsibilities:Navigate through different laws and regulations such as FINRA rules,...

Join to apply for the Compliance Analyst (Insurance) role at Securian CanadaWho we needThe Compliance Analyst will be accountable to provide detailed and accurate reporting and proposed remediation action plans in ensuring Securian Canada maintains high ethical market conduct standards of our distribution channels. You will conduct desk and on-site reviews...

Join to apply for the Compliance Analyst role at Securian Canada.Who we needThe Compliance Analyst will be accountable to provide detailed and accurate reporting and proposed remediation action plans in ensuring Securian Canada maintains high ethical market conduct standards of our distribution channels. You will conduct desk and on-site reviews of...

Company: Ontario's premiere mortgage lender Role: Manager, Compliance *Please note that this is a full-time, in-office role. Offices are located downtown Toronto and in Hamilton. Preference is for Toronto-based candidates. Reporting to the CCO/CRO, the responsibilities of this role include: Providing subject matter expertise to business partners on a...

**Compliance Analyst Role at Securian Canada**We are seeking a Compliance Analyst to join our Legal & Compliance department.The ideal candidate will have experience in legislative and corporate compliance management, preferably within the insurance industry. They will be responsible for ensuring that Securian Canada maintains high ethical market conduct...

Company OverviewQuestrade Financial Group is a cutting-edge financial institution that provides innovative products and services to its customers. We are committed to fostering a diverse, inclusive, and accessible work environment where individuals can grow and develop their skills.Job DescriptionWe are seeking a highly skilled Chief Compliance Officer (CCO)...

About the RoleWe are seeking an experienced professional to join our team as a Manager, Testing and Oversight. The successful candidate will be responsible for managing the testing and challenge process for solutions designed to address AML/ATF and Sanctions issues.Key responsibilities include:Managing multiple review engagements simultaneouslyIdentifying...

Our MissionAt Questrade Financial Group, our mission is to ensure Canadians can take more control over their financial wellbeing. We are committed to providing innovative products and services that give customers better, more affordable ways to manage their finances.Job SummaryWe are seeking a highly skilled Chief Compliance Officer (CCO) to join our team....

About UsWe are Capital One Canada, a leading financial institution committed to fostering a diverse and inclusive work environment. We are seeking a seasoned Compliance and Governance professional to join our team as a Compliance and Governance Specialist.As a key member of our Second Line Risk Assurance function, you will be responsible for overseeing the...