Financial Controls Compliance Specialist
2 weeks ago
We are seeking a skilled Compliance Testing and Financial Risk Management Expert to join our team at the Bank of Montreal. In this role, you will be responsible for delivering high-quality testing plans and executing them in accordance with the Enterprise Compliance Program and Operational Non-Financial Risk Framework.
About the RoleThis is a full-time position based in Toronto, ON, Canada. The ideal candidate will have 7+ years' experience in compliance, control testing, or audit roles, preferably in a dealer and/or portfolio management environment. You will be expected to work closely with various stakeholders, including management, to communicate identified issues and provide recommendations to mitigate exposures and risks.
Key Responsibilities:- Design and implement specific monitoring and testing procedures for each applicable area of review, which may include the development of new monitoring and testing scripts.
- Execute the 1LOD testing program for the Wealth LOBs and document results and outcomes as required.
- Understand controls that support regulatory compliance and manage other sources of ONFR.
- Communicate M&T identified issues to the businesses, 1LOD Compliance Advisory, 2LOD Compliance, and 2LOD Risk.
- Raise compliance and control-related awareness with the businesses and provide appropriate advice and guidance to mitigate exposures and risks.
- Prepare reports and related test results dashboard for various stakeholders including management.
- 7+ years' experience in a compliance, control testing, or audit role ideally in a dealer and/or portfolio management environment.
- Excellent data analysis, organizational, analytical, and communication skills.
- Exhibit strong planning skills.
- Familiarity with Wealth regulatory requirements.
- Experience in the planning and execution of testing.
- Understanding of risk and controls.
The salary range for this position is estimated to be between $80,000 and $120,000 per year, depending on experience and qualifications. BMO Financial Group offers a comprehensive benefits package, performance-based incentives, and discretionary bonuses. Our company values diversity, equity, and inclusion and welcomes applicants from diverse backgrounds.
-
Financial Compliance Specialist
2 weeks ago
Toronto, Ontario, Canada CI Financial Full timeAt CI Financial, we believe that our work environment should be a safe and inclusive space where everyone has the opportunity to contribute their unique perspective and ideas. We are driven by a commitment to providing individuals and institutions with high-quality investments and advice.Job OverviewWe are currently seeking a Financial Compliance Specialist...
-
IT Internal Controls Compliance Manager
1 month ago
Toronto, Ontario, Canada CI Financial Full timeJob SummaryCI Financial is seeking a Manager, IT Internal Controls Compliance to enhance the overall control environment at CI Financial through the development and testing of Internal Controls over Financial Reporting and the Board-approved internal audit plan.Key ResponsibilitiesPlan, coordinate, and execute all phases of IT NI 52-109 compliance.Liaise...
-
IT Compliance Manager
2 weeks ago
Toronto, Ontario, Canada CI Financial Full timeEnhance your career in IT compliance with a leading financial services firm.We are seeking an experienced IT Compliance Manager to join our team at CI Financial. This is an exciting opportunity to work on a wide range of projects, from developing and testing internal controls to ensuring the accuracy of financial reports.About the Role:Develop and implement...
-
Internal Controls Specialist
1 week ago
Toronto, Ontario, Canada CI Financial Full timeEnhance your career with a challenging role at CI Financial, a leading global wealth management and asset management advisory services company. We're seeking an experienced Internal Controls Specialist to join our team.Job SummaryThis is a fantastic opportunity to work on high-profile projects and make a significant impact on the overall control environment...
-
Financial Compliance Specialist
2 weeks ago
Toronto, Ontario, Canada CB Canada Full timeCB Canada is currently hiring for the position of Financial Compliance Specialist in Toronto. This role will act as a single point of contact for all sales, trading, corporate banking, and investment banking for US & CDA clients.You will work directly with Front Office, Operations, Client Services, and other stakeholders to process client and product...
-
Toronto, Ontario, Canada CI Financial Full timeJob DescriptionWe are seeking an experienced Senior IT Internal Controls Compliance Manager to join our team at CI Financial. This role is responsible for enhancing the overall control environment through the development and testing of Internal Controls over Financial Reporting.About the JobDevelop and execute comprehensive IT internal controls strategies to...
-
Senior Financial Controls Specialist
2 days ago
Toronto, Ontario, Canada TORONTO HYDRO Full timeAbout the RoleAt Toronto Hydro, we are seeking a highly skilled and experienced Senior Financial Controls Specialist to join our team. This is a full-time position that will support the Internal Audit Management in completing the Internal Audit program.Key ResponsibilitiesPlan, execute, and report on financial and operational internal audit projects,...
-
Senior IT Controls Specialist
2 weeks ago
Toronto, Ontario, Canada CI Financial Full timeJob DescriptionWe are seeking a highly skilled Compliance Manager, Financial Services to join our team at CI Financial. This role will play a crucial part in enhancing our control environment through the development and testing of Internal Controls over Financial Reporting.ResponsibilitiesIT NI 52-109 Compliance: Plan, coordinate, and execute all phases of...
-
Regulatory Compliance Specialist
2 weeks ago
Toronto, Ontario, Canada CI Financial Full timeJob DescriptionWe are seeking a highly skilled Regulatory Compliance Specialist to join our Compliance team at CI Financial. As a key member of our team, you will be responsible for conducting compliance tasks in accordance with internal procedures and regulatory requirements.Key Responsibilities:Approve pre-clearance requests from registrants.Help onboard...
-
Toronto, Ontario, Canada CI Financial Full timeAt CI Financial, we offer a dynamic work environment that fosters growth, innovation, and teamwork. Our organization is built on the principles of empowerment, ownership, and continuous learning.We are currently seeking a highly skilled Cybersecurity Compliance and Governance Specialist to join our Compliance team in Canada. In this role, you will be...
-
Financial Compliance Specialist
3 weeks ago
Toronto, Ontario, Canada Kinterra Capital Full timeJob Summary: We are seeking a highly skilled Financial Compliance Specialist to join our team at Kinterra Capital. The successful candidate will be responsible for maintaining accurate financial records, preparing tax returns, and ensuring compliance with regulatory requirements.Key Responsibilities:Calculate and prepare cheques for payroll.Keep financial...
-
Cybersecurity Compliance Specialist
1 month ago
Toronto, Ontario, Canada CI Financial Full timeAt CI Financial, we're seeking a highly skilled Cybersecurity Compliance Analyst to join our Compliance team. In this role, you'll conduct branch audits across Canada to review activities related to cybersecurity governance and compliance of CI Assante Wealth Management's independent advisor practice.Key Responsibilities:Travel to assigned Assante Branches...
-
In-House Financial Compliance Specialist
2 weeks ago
Toronto, Ontario, Canada Testing four company Full timeWe are seeking a highly skilled In-House Financial Compliance Specialist to join our team at Testing four company, working closely with Canada's largest in-house financial and banking institutions.The ideal candidate will have 4+ years of experience in the financial services industry, with a deep understanding of bank business lines and operation units....
-
Tax Compliance Specialist
2 weeks ago
Toronto, Ontario, Canada CI Financial Full timeAt CI Financial, we strive to be a workplace where everyone has a voice, is empowered to take ownership of meaningful work, and has opportunities for growth through challenging projects.Job OverviewThe Tax Compliance Specialist will play a vital role in ensuring the accurate distribution and tax reporting for our financial products.Key...
-
Financial Controls Specialist
1 month ago
Toronto, Ontario, Canada Sun Life Full timeJob Title: Financial Controls SpecialistAt Sun Life, we are seeking a highly skilled Financial Controls Specialist to join our Corporate Finance team. In this role, you will play a critical part in ensuring the effectiveness of our internal controls and financial reporting processes.Key Responsibilities:Coordinate the delivery of the internal control over...
-
Compliance Operations Specialist
1 week ago
Toronto, Ontario, Canada Foresters Financial Full timeJob OverviewThis 12-month contract role is an exciting opportunity to join Foresters Financial as a Compliance Operations Specialist in the Canadian Market Conduct team.
-
Tax Compliance Specialist
2 weeks ago
Toronto, Ontario, Canada Intact Financial Corporation Full timeWe're looking for a highly skilled Tax Specialist to join our team at Intact Financial Corporation. As a Tax Specialist, you will be responsible for filing returns for various reporting cycles, including GST/HST/QST/PST, insurance premium tax, and sales tax on insurance. Your expertise in tax automation will be essential in performing account...
-
Senior Financial Compliance Specialist
2 weeks ago
Toronto, Ontario, Canada TalentSphere Staffing Solutions Full timeAre you a detail-oriented accounting professional looking for a new challenge? We have an exciting opportunity for a Senior Financial Compliance Specialist to join our client, a successful investment management firm in downtown Toronto.About the RoleWe are seeking a highly skilled and experienced Senior Financial Compliance Specialist to support the growth...
-
Regulatory Compliance Specialist
2 weeks ago
Toronto, Ontario, Canada Randstad Canada Full timeAre you looking to gain experience within a top-tier financial institution? If so, this is an excellent opportunity for you. Our client, a leading bank, is seeking a Regulatory Compliance Specialist to join their team.This 6-month contract in Toronto offers the chance to work with a highly respected organization and gain valuable experience. The position...
-
Financial Reporting Specialist
1 month ago
Toronto, Ontario, Canada CI Financial Full timeAt CI Financial, we foster a culture that empowers employees to take ownership of meaningful work, grow through challenging projects, and work on innovative products. We are committed to providing individuals and institutions with the highest-quality investments and advice.Job OverviewThe Financial Reporting Specialist will be responsible for ensuring the...