Compliance Surveillance Expert

Job DescriptionSociété Financière Manuvie is seeking a seasoned professional to lead its E-Communications and Market Abuse Compliance team.About the RoleThis is an exciting opportunity for an experienced compliance expert to spearhead the development and implementation of a robust E-Communications and Market Abuse program.The ideal candidate will have a...

Job SummaryScotiabank is seeking a seasoned Compliance Officer to join our team as a Global Surveillance Expert. In this role, you will be responsible for conducting capital markets and retail trading related surveillance and supporting the Global Banking and Markets & Treasury business divisions.Key ResponsibilitiesChampion a customer-focused culture to...

Job OverviewA high-profile opportunity has arisen for an accomplished Compliance Trade Surveillance Lead to join Scotiabank's dedicated team of experts. The successful candidate will play a pivotal role in leading the development and implementation of comprehensive trade surveillance programs, ensuring adherence to regulatory requirements and industry best...

Job DescriptionHiring for a Cross-Border Trade Compliance Specialist to work on-site at the University of Toronto, Mississauga campus. As the subject matter expert in Trade Compliance, you will ensure compliance with all Customs/Gov't related inquiries.Responsibilities:Be the SME for all Trade Compliance-related mattersFull responsibility for all...

The opportunityManulife is seeking a motivated self-starter to set up and run a dedicated E-Communications and Surveillance (Market Abuse) Compliance team. Supporting the legal entity and segment CCOs, the individual will be responsible for building a program to enhance our existing model and will work closely with Investigative Services, Distribution...

Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.PurposeThe objective of the Compliance Officer (CO) is to directly conduct capital markets and retail trading related surveillance and support for the Global Banking and Markets & Treasury (“GBM&T”) and Wealth Management business divisions of Scotiabank....

Requisition ID: 210469 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. Purpose The objective of the Compliance Officer (CO) is to directly conduct capital markets and retail trading related surveillance and support for the Global Banking and Markets & Treasury (“GBM&T”) and Wealth Management...

Job OverviewWe are seeking a highly skilled Trade Compliance Expert to join our team at Trade Compliance Recruiting Solutions. This role is 100% on-site in the University of Toronto, Mississauga campus area, offering flexible working hours.ResponsibilitiesServe as the subject matter expert in Trade Compliance for this global company.Take full responsibility...

Key ResponsibilitiesThe Senior Compliance Officer, Trade Surveillance will directly conduct capital markets trading related surveillance, monitoring, and support for the Global Banking and Markets & Treasury business division of Scotiabank. This role is responsible for carrying out certain Tier 2 compliance activities for assigned internal business groups in...

h3>AVP Compliance, E-Communications Monitoring & Surveillance Apply Locations: Toronto, Ontario; Waterloo, Ontario Time Type: Full time Posted On: Posted Yesterday Time Left to Apply: End Date: November 16, 2024 (22 days left to apply) Job Requisition ID: JR24080382 The Opportunity Manulife is seeking a motivated self-starter to set up and run a dedicated...

Job Overview:The Senior Compliance Surveillance Manager is responsible for leading a team of compliance professionals in overseeing, reviewing, and enhancing the surveillance program for market abuse and electronic communications. This role reports to the Managing Director and Global Head of Surveillance for TD Securities and the Chief Compliance Officer for...

Requisition ID: 205599 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. Purpose The objective of the Senior Compliance Officer (SCO) is to directly conduct capital markets trading related surveillance, monitoring and support for the Global Banking and Markets & Treasury (“GBM&T”) business...

At TD, we're a leader in the financial services industry, delivering legendary client experiences to over 27 million households and businesses in Canada and the US.About This RoleWe're seeking a Senior AML Analyst to join our team! As a key member of our Global AML Compliance Department, you'll play a critical role in establishing and maintaining our...

The Société Financière Manuvie is seeking a highly motivated and experienced Senior Compliance Officer to lead its E-Communications Surveillance program. This is a unique opportunity to join a dynamic team and contribute to the company's commitment to regulatory compliance and risk management.About the Role:Develop and implement a comprehensive...

We are seeking a seasoned Senior Compliance Officer to join our team at TD Securities, responsible for overseeing the surveillance program for market abuse and electronic communications in Canada. Reporting to the Managing Director and Global Head of Surveillance, this individual will lead a team of compliance professionals in reviewing and enhancing the...

Requisition ID: 177318 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. **Business Solutions Expert - Trade Surveillance Listed Products** Scotiabank’s Information Technology and Solutions provides global technology solutions support to each of our core businesses - Domestic Banking, International...

Job SummaryWe are seeking a highly skilled Compliance Officer, Surveillance to join our team at CI Financial. This role is responsible for conducting daily and monthly reviews of client account activity, identifying trends, and escalating concerns to the Manager of Trade Surveillance.Key Responsibilities- Conduct daily and monthly reviews of client account...

Requisition ID: 208545 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. **Purpose** Contributes to the overall success of the Global Compliance Trade Surveillance Department (“GCTS”) within Global Banking and Markets & Treasury (“GBM&T”) Compliance in Canada, ensuring specific individual goals,...

Requisition ID: 203745 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. Purpose Lead a dynamic team of compliance professionals responsible for multijurisdictional trade surveillance (including exchange traded and over the counter products) of the activities conducted by the Wealth Management and...

Job Description WHAT YOU WILL DO -Conduct, monitor and document daily and monthly head office reviews of client account activity with a focus on criteria outlined in CIRO (mutual fund dealer and investment dealer) rules, other regulations, and corporate guidelines and policies -Identify trends developing in trading of specific advisors and/or client...