Compliance Officer Role

5 days ago

London, Ontario, Canada CI Financial Full time
Job Overview

We are seeking a Senior Compliance Officer to foster a culture of compliance within our organization. The successful candidate will be responsible for assisting Compliance management with policy and procedures, compliance technology, and regulatory initiatives.

The incumbent will provide strategic support to the Director, Compliance and Senior Management in Compliance related matters, as well as provide strategic input on the design, development and launch of policies and/or procedures related to business conduct compliance, trade conduct compliance and managed account supervision.

Key Responsibilities:

  • Provide strategic support to the Director, Compliance and Senior Management in Compliance related matters.
  • Support the development, implementation and continuous improvement of Compliance's related programs, technology, tools and resources designed to enable CI's investment firms to meet its regulatory requirements and achieve organizational and operational goals.
  • Maintain current knowledge and provide ongoing support to Compliance applications.
  • Provide guidance and training to Compliance and Operational teams, and sometimes directly to advisors and branch staff.
  • Testing to ensure system integrity.
  • Be a subject matter expert on firm's systems.

Requirements:

  • Minimum 5 years securities industry experience.
  • Experience with IIROC and MFDA.
  • University or college degree (or equivalent experience).
  • Completion of applicable securities industry courses offered by the Canadian Securities Institute including Canadian Securities Course and Conduct and Practices Handbook, Supervision courses.
  • Demonstrated knowledge and understanding of the relevant securities legislation and SRO rules and regulations.

  • Quality Compliance Officer

    4 days ago

    London, Ontario, Canada Ontario Association of Paramedic Chiefs Full time

    About the RoleThe Quality Assurance Officer will be responsible for ensuring that patient care documentation meets the highest standards of quality. This includes conducting audits of ACRs, ePCRs, incident reports, and other relevant records to ensure compliance with Ontario Ambulance Documentation Standards, Patient Care Model Standards, Basic Life Support...

  • Regulatory Compliance Officer

    4 days ago

    London, Ontario, Canada Carrington Blake Recruitment Full time

    About the RoleThis is an exciting opportunity to join our team as a Regulatory Compliance Officer. The successful candidate will be responsible for ensuring compliance with relevant legislation, government guidance, and the Council's licensing procedures, policies, and standard terms and conditions.Responsibilities:Compliance Monitoring: Regularly review and...

  • Regulatory Compliance Officer

    4 days ago

    London, Ontario, Canada PSG Global Solutions Full time

    We're seeking a Regulatory Compliance Officer to join our team.Job Summary:This role involves ensuring the quality of pharmaceutical products and maintaining regulatory compliance.Key Responsibilities:Collaborate with cross-functional teams to prioritize and schedule tasks, ensuring efficient workflow and meeting deadlines.Support deviation investigations...

  • SOX Compliance Officer

    2 days ago

    London, Ontario, Canada VersaBank Full time

    Job Summary:We are seeking a highly skilled SOX Compliance Officer to join our Finance Team at VersaBank. The successful candidate will be responsible for leading the Bank's control objectives and monitoring compliance efforts, ensuring adherence to Sarbanes-Oxley (SOX) requirements.Key Responsibilities:Leading the Bank's control objectives and monitoring...

  • Chief Compliance Officer

    2 days ago

    London, Ontario, Canada London & Middlesex Local Immigration Partnership Full time

    The Director, Municipal Compliance is a critical role within the London & Middlesex Local Immigration Partnership. As a senior leader, this individual will be responsible for developing and implementing the strategic direction of the Municipal Compliance Division.This division operates on municipal principles of health and safety; consumer protection;...

  • Facility Compliance Officer

    1 week ago

    London, Ontario, Canada Parsons Oman Full time

    **Overview:**Parsons Oman is seeking a highly motivated and experienced individual to fill the role of Facility Security Officer. In this position, you will play a critical role in ensuring the protection of classified information and facilities within our organization.Your responsibilities will include managing all aspects of the National Industrial...

  • Privacy and Compliance Officer

    4 days ago

    London, Ontario, Canada Ontario Health Full time

    We are committed to advancing excellence in health care and enhancing the patient experience. As a Privacy and Compliance Officer, you will play a critical role in ensuring that our organization adheres to all applicable laws, regulations, and standards related to privacy and confidentiality.ResponsibilitiesDevelop, implement, and maintain a comprehensive...

  • Risk and Compliance Officer

    5 days ago

    London, Ontario, Canada Aecon Concessions Full time

    We are looking for a Risk and Compliance Officer to join our team at Aecon Concessions. This role will be responsible for ensuring that our organization's risk management practices are aligned with industry best practices and regulatory requirements.About UsAecon Concessions is a leading infrastructure development company that prioritizes safety, integrity,...

  • Training and Compliance Officer

    3 days ago

    London, Ontario, Canada Capgemini Full time

    About the RoleThis position is responsible for collaborating closely with business leaders and departments to determine training objectives that align with overall business goals and regulatory compliance requirements, particularly FDA standards and guidelines.Key ResponsibilitiesCollaborate with business leaders to identify training needs and develop...

  • 3 Days Left Compliance Officer

    3 weeks ago

    London, Ontario, Canada Medison group Full time

    Medison offers hope to patients suffering from rare and severe diseases by forming partnerships with emerging biotech companies to accelerate access to highly innovative therapies in international markets.As the creator and leader of the global partnership category in the pharma industry, we strive to be Always Ahead and work relentlessly to bring therapy to...

  • Compliance Officer

    1 week ago

    London, Ontario, Canada Specialized Recruiting Group -London, Ontario Full time

    Company OverviewThe Specialized Recruiting Group is a global organization with numerous subsidiaries, offering a dynamic work environment and opportunities for growth and mobility within and across business units. Our team provides a safe and supportive community where you can feel valued and supported.Job SummaryWe are seeking a skilled Privacy Specialist...

  • Compliance Officer

    6 days ago

    London, Ontario, Canada Celestica Inc. Full time

    Key ResponsibilitiesEnsures IT controls are regularly tested/assessed and provides solutions for mitigation where required.Implements effective monitoring and assessment processes.Coordinates projects related to IT SoX compliance and audits.

  • Data Integrity and Compliance Officer

    4 days ago

    London, Ontario, Canada OPITONS FOR YOUTH CHARTER SCHL Full time

    About Our MissionOptions For Youth Charter Schools is committed to providing students with a flexible, personalized approach to learning. As a Data Integrity and Compliance Officer, you will be responsible for maintaining the accuracy and integrity of student records, ensuring compliance with regulatory requirements.Your Key ObjectivesImplement and maintain...

  • Compliance Strategist

    4 days ago

    London, Ontario, Canada The Toronto-Dominion Bank (Canada) Full time

    The Toronto-Dominion Bank (Canada) seeks a highly skilled Compliance Strategist to join its team. As an AVP, Compliance, Strategic Insights and Reporting, you will be responsible for overseeing regulatory compliance across the organization.You will work closely with the Chief Compliance Officer and Deputy Chief Compliance Officer to design and develop senior...

  • Sarbanes-Oxley Compliance Officer

    3 days ago

    London, Ontario, Canada VersaBank Full time

    About UsVersaBank is an entrepreneurial and inclusive Schedule 1 Chartered Bank with a strong presence in Canada. We operate as a branchless financial institution, leveraging technology to deliver innovative deposit and lending solutions for financial intermediaries. Our goal is to excel in our core businesses and provide exceptional services to our...

  • Compliance and Risk Specialist

    4 days ago

    London, Ontario, Canada Ontario Association of Paramedic Chiefs Full time

    Job DescriptionThe Quality Assurance Officer will be responsible for ensuring the highest standards of quality in patient care documentation and compliance with relevant legislation and industry best practices.The role involves conducting comprehensive quality audits of patient care documentation, including but not limited to ACRs, ePCRs, incident reports,...

  • Financial Compliance Officer

    6 days ago

    London, Ontario, Canada Moomoo Financial Inc. Full time

    Moomoo Canada Financial Inc. (MFC) is a subsidiary of FUTU Holdings Inc., a global leader in online brokerage and wealth management solutions.We offer an advanced, user-friendly trading platform for do-it-yourself traders, empowering them to take control of their financial futures.Role Overview:MFC has experienced significant growth and success since its...

  • Compliance Specialist

    1 week ago

    London, Ontario, Canada OPITONS FOR YOUTH CHARTER SCHL Full time

    About the RoleWe are seeking a highly organized and detail-oriented Compliance Specialist to join our team. The successful candidate will be responsible for maintaining internal auditing procedures, ensuring compliance with state regulations, and coordinating with teachers and administrative staff to implement systems that minimize audit risks.Key...

  • Controller Compliance Lead

    5 days ago

    London, Ontario, Canada VersaBank Full time

    We are seeking an experienced Controller Compliance Lead to join our Finance Team at VersaBank, a Schedule 1 Chartered Bank with over $4.3 billion in assets. Located in London, Ontario, this role will work out of our VICE office location.The Controller Compliance Lead will be responsible for leading the Bank's control objectives and monitoring compliance...

  • Regulatory Compliance Manager

    3 days ago

    London, Ontario, Canada Scotiabank Full time

    **Job Summary** We are looking for an experienced Regulatory Compliance Manager to join our team. As a key member of our Global Wholesale Operations, you will play a critical role in driving the efficiency and effectiveness of our Regulatory Reporting & Control function. Key ResponsibilitiesDevelop and maintain policies and procedure documents for all...