Regulatory Risk Advisor
7 days ago
We are seeking a Regulatory Risk Advisor to join our team at The Mason Group Inc. As a Regulatory Risk Advisor, you will play a critical role in ensuring compliance with CIRO requirements and securities regulations.
Responsibilities- Ensure compliance with CIRO requirements, securities laws, and firm policies
- Supervise firm activities, employees, and Approved Persons to ensure adherence to regulatory standards
- Take timely corrective action on issues outside acceptable conduct or regulatory bounds
- Assist in developing and maintaining supervisory policies and procedures
- Supervise the activities of Approved Persons, including account approvals and client activity monitoring
- Oversee retail futures and options accounts and pre-approve marketing and sales communications
- College Diploma or University Degree (in business or finance preferred)
- Futures Licensing Course (FLC), Conduct and Practices Handbook Course (CPH), Either: Derivatives Fundamentals Course (DFC) Or Derivatives Fundamentals and Options Licensing Course (DFOL), Canadian Commodity Supervisors Exam (CCSE), Investment Dealer Supervisors Course (IDSC)
- 4+ years of relevant experience at an investment dealer or an entity governed by a recognized foreign self-regulatory organization
- Supervisory experience at a discount broker
- Knowledge in Equities, Futures, Currencies & Over-The-Counter Derivatives, including Contracts for Difference (CFDs)
- Strong knowledge of CIRO requirements, securities and derivatives laws, and regulations applicable to Equities, Futures, Currencies & CFDs
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Business Risk Advisor
4 days ago
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Risk Management Advisor
6 days ago
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Risk Management Strategic Advisor
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Senior Advisor, Office of the Investor
1 week ago
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Risk Advisory Professional
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Director, Regulatory Risk
3 weeks ago
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Senior Regulatory Advisor
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Regulatory Risk Strategist
5 days ago
Toronto, Ontario, Canada Bank of America Full timeRole SummaryAs a key member of the Global Compliance and Operational Risk Management team, this role plays a critical part in defining requirements for the corporate compliance and operational risk management program across the Bank and its enterprise subsidiaries. The ideal candidate will have extensive experience in developing and implementing compliance...
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Regulatory Risk Management Leader
5 days ago
Toronto, Ontario, Canada Scotiabank Full timeJob SummaryWe are seeking a highly experienced Regulatory Risk Management Leader to join our Scotiabank team. As a key member of our Compliance department, you will be responsible for overseeing the development and implementation of regulatory risk management strategies and programs across Corporate Functions.About the RoleDevelop and maintain applicable...
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Insurance and Risk Management Advisor
3 days ago
Toronto, Ontario, Canada RBC Full timeJob SummaryThis is a hybrid role at RBC that offers the flexibility you need for your life and the fulfillment you seek in your work. As an RBC Licensed Insurance Advisor for Home & Auto, you will be the trusted voice on the other end of the phone providing insurance advice and options to help clients protect what's important to them.You'll provide clear,...
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Toronto, Ontario, Canada Scotiabank Full timeKey Requirements:To succeed in this role, you will need:Post-Secondary Education completed, preferably in Finance, Business Administration, or a related field.3+ years of experience in regulatory affairs, compliance, and business banking credit risk.Deep understanding of regulatory requirements specific to Business Banking Credit Risk, including capital...
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Director of Risk and Regulatory Compliance
6 days ago
Toronto, Ontario, Canada Scotiabank Full timeAbout the RoleThe Director, GIAM (Global Identity & Access Management) IAM risk and regulatory service delivery will be responsible for developing and implementing a comprehensive IAM governance framework that ensures alignment with Scotiabank's overall security architecture and regulatory requirements.This role will require strong leadership and...
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Toronto, Ontario, Canada Sun Life Financial Full timeSun Life Financial is looking for a highly skilled Senior Risk Professional, Regulatory Compliance to join our Risk, Governance, and Controls team. As a key member of our team, you will play a vital role in ensuring our company's compliance with regulatory requirements, supporting our overall governance framework.Your Key Responsibilities Will...
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Senior Manager, Regulatory Compliance
4 days ago
Toronto, Ontario, Canada TD Full timeAbout the RoleWe are seeking an experienced leader to oversee our regulatory compliance initiatives. As Senior Manager, Regulatory Compliance, you will be responsible for developing and implementing strategies to ensure our organization meets all relevant regulatory requirements.Your primary focus will be on managing teams of analysts and/or managers...
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Toronto, Ontario, Canada Financial Services Regulatory Authority of Ontario Full timeAbout the RoleWe are seeking a highly skilled Risk Management Leader to join our team at the Financial Services Regulatory Authority of Ontario (FSRA). As a key member of our organization, you will be responsible for leading the development and implementation of prudential supervision programs, services, and initiatives.Key ResponsibilitiesPrudential...
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Risk Management Leader, Regulatory Affairs
3 days ago
Toronto, Ontario, Canada Manulife Full timeRole OverviewThe Risk Management Leader, Regulatory Affairs will be responsible for developing and implementing effective risk management strategies to mitigate potential risks to the organization. The ideal candidate will have a strong background in risk management and compliance, with experience in analyzing complex data and developing strategies to...
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Risk Management Solutions Expert
5 days ago
Toronto, Ontario, Canada Scotiabank Full timeThis Financial Institution Risk Advisor position requires a deep understanding of financial markets and products, as well as excellent analytical and problem-solving skills.The role involves providing subject matter expertise within Global Risk Management for specific elements of Treasury Risk Management, as well as identifying emerging risks and...
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Risk Management Professional
7 days ago
Toronto, Ontario, Canada RBC Full timeCompany OverviewRBC is a leading financial institution with a strong commitment to governance and risk management. Our team is dedicated to providing expert guidance and support to our stakeholders.SalaryAs a Senior Governance Specialist, you will be responsible for providing ongoing control and governance thought leadership and support for programs related...
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Senior Risk Advisor
4 days ago
Toronto, Ontario, Canada Capital One Full timeThe Role:Key Responsibilities:Support the Canada Business by identifying and managing the risks inherent in business activities, products, and processes.Be a key advisor to business partners and stakeholders through thought leadership and guidance.Engage in risk and control assessments on critical business processes, products, and new initiatives to identify...
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Regulatory Affairs Specialist
4 days ago
Toronto, Ontario, Canada Raymond James Financial Full timeCompliance Program LeadershipThe successful candidate will lead the development and implementation of our compliance program, ensuring we maintain high standards in accordance with regulatory requirements. Key responsibilities include:Key ResponsibilitiesDeveloping and maintaining policies and procedures to ensure regulatory compliance;Collaborating with...