Senior Investigator, Compliance Specialist
6 days ago
We are seeking a highly skilled Senior Investigator to join our Wealth Management Compliance team at Sun Life Financial. As a Senior Investigator, you will be responsible for conducting thorough investigations into advisor misconduct and regulatory inquiries.
Key Responsibilities- Conduct investigations into allegations of misconduct within our Wealth and Insurance distribution channels.
- Review trends and assist in designing controls for prevention and deterrence of dishonest and fraudulent activities.
- Manage reporting obligations to regulatory bodies and ensure timely reporting.
- Ensure thorough documentation of internal investigations, including evidence, analysis, and final outcomes.
- Recommend appropriate internal discipline and client remediation where applicable.
- Accurately identify, assess, and report risks and trends for the business.
- Relevant industry experience, including complaint handling, internal investigations, and compliance.
- In-depth knowledge of insurance and investments, mutual funds, debt instruments, and segregated fund products.
- Strong investigative, decision-making, influencing, analytical, and mathematical skills.
- Excellent partnering skills to build relationships with key business partners.
- Ability to self-manage and work independently, as well as collaboratively as a member of a team.
- A competitive salary range of $76,000.
- A comprehensive benefits package, including flexible benefits and pension plan participation.
- The opportunity to work in a dynamic and inclusive culture, united by our purpose to help clients and employees achieve lifetime financial security and live healthier lives.
- A flexible hybrid work model, allowing for a balance between work and personal life.
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Senior Investigator, Compliance Specialist
6 days ago
Old Toronto, Ontario, Canada Sun Life Financial Full timeJob SummaryWe are seeking a highly skilled Senior Investigator to join our Wealth Management Compliance team at Sun Life Financial. As a Senior Investigator, you will be responsible for conducting thorough investigations into advisor misconduct and regulatory inquiries.Key ResponsibilitiesConduct investigations into allegations of misconduct within our...
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Senior Investigator, Compliance Specialist
6 days ago
Old Toronto, Ontario, Canada Sun Life Financial Full timeJob SummaryWe are seeking a highly skilled Senior Investigator to join our Wealth Management Compliance team at Sun Life Financial. As a Senior Investigator, you will be responsible for conducting thorough investigations into advisor misconduct and regulatory inquiries.Key ResponsibilitiesConduct investigations into allegations of misconduct within our...
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Senior Investigator, Compliance Specialist
7 days ago
Toronto, Ontario, Canada Financière Sun Life Full timeJob SummaryWe are seeking a highly skilled and experienced Senior Investigator to join our team at Financière Sun Life. As a Senior Investigator, you will be responsible for conducting thorough and impartial investigations into allegations of misconduct within our Wealth and Insurance distribution channels.Key ResponsibilitiesConduct investigations into...
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Senior Investigator, Compliance Specialist
6 days ago
Toronto, Ontario, Canada Financière Sun Life Full timeJob SummaryWe are seeking a highly skilled and experienced Senior Investigator to join our team at Financière Sun Life. As a Senior Investigator, you will be responsible for conducting thorough and impartial investigations into allegations of misconduct within our Wealth and Insurance distribution channels.Key ResponsibilitiesConduct investigations into...
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Senior Investigator
7 days ago
Toronto, Ontario, Canada the Ladders Full timeJob SummaryWe are seeking a highly skilled Senior Investigator to join our Business Unit at the Ontario Securities Commission (OSC). As a Senior Investigator, you will play a critical role in regulating Ontario's capital markets in accordance with the mandate established in the provincial Securities Act and the Commodity Futures Act.Key...
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Senior Investigator
7 days ago
Toronto, Ontario, Canada the Ladders Full timeJob SummaryWe are seeking a highly skilled Senior Investigator to join our Business Unit at the Ontario Securities Commission (OSC). As a Senior Investigator, you will play a critical role in regulating Ontario's capital markets in accordance with the mandate established in the provincial Securities Act and the Commodity Futures Act.Key...
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Senior Compliance Specialist
1 week ago
Old Toronto, Ontario, Canada IG Wealth Management Full timeAbout IG Wealth ManagementIG Wealth Management is a leading diversified wealth and asset management company with a strong presence in Canada. With a rich history spanning over 90 years, we have grown to become one of the largest and most respected companies in the country.Our VisionAt IG Wealth Management, our vision is to inspire financial confidence in our...
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Senior Compliance Specialist
1 week ago
Old Toronto, Ontario, Canada IG Wealth Management Full timeAbout IG Wealth ManagementIG Wealth Management is a leading diversified wealth and asset management company with a strong presence in Canada. With a rich history spanning over 90 years, we have grown to become one of the largest and most respected companies in the country.Our VisionAt IG Wealth Management, our vision is to inspire financial confidence in our...
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Senior Investigator, AML
24 hours ago
Toronto, Ontario, Canada Scotiabank Full timeSenior Investigator, AML (Transaction Monitoring Case Investigations)Scotiabank is seeking a highly skilled Senior Investigator to join our team in Toronto, Canada. As a Senior Investigator, you will play a critical role in conducting money laundering (ML) and/or terrorist financing (TF) investigations, ensuring the integrity of our financial systems and...
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Senior Investigator, AML
21 hours ago
Toronto, Ontario, Canada Scotiabank Full timeSenior Investigator, AML (Transaction Monitoring Case Investigations)Scotiabank is seeking a highly skilled Senior Investigator to join our team in Toronto, Canada. As a Senior Investigator, you will play a critical role in conducting money laundering (ML) and/or terrorist financing (TF) investigations, ensuring the integrity of our financial systems and...
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Old Toronto, Ontario, Canada Scotiabank Full timeAbout the RoleWe are seeking a highly skilled Senior Compliance Officer to join our Trade Surveillance team at Scotiabank. As a key member of our team, you will be responsible for conducting capital markets trading related surveillance, monitoring, and support for our Global Banking and Markets & Treasury business division.Key ResponsibilitiesSurveillance...
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Old Toronto, Ontario, Canada Scotiabank Full timeAbout the RoleWe are seeking a highly skilled Senior Compliance Officer to join our Trade Surveillance team at Scotiabank. As a key member of our team, you will be responsible for conducting capital markets trading related surveillance, monitoring, and support for our Global Banking and Markets & Treasury business division.Key ResponsibilitiesSurveillance...
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Senior Investigator, AML
2 days ago
Toronto, Ontario, Canada Scotiabank Full timeSenior Investigator, AML (Transaction Monitoring Case Investigations)Scotiabank is seeking a highly skilled Senior Investigator to join our team in Toronto, Canada. As a Senior Investigator, you will play a critical role in conducting money laundering (ML) and/or terrorist financing (TF) investigations, ensuring the integrity of our financial systems and...
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Senior Investigator, AML
2 days ago
Toronto, Ontario, Canada Scotiabank Full timeSenior Investigator, AML (Transaction Monitoring Case Investigations)Scotiabank is seeking a highly skilled Senior Investigator to join our team in Toronto, Canada. As a Senior Investigator, you will play a critical role in conducting money laundering (ML) and/or terrorist financing (TF) investigations, ensuring the integrity of our financial systems and...
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Compliance Investigator
1 week ago
Toronto, Ontario, Canada Trinity Consultants - Advent Engineering Full timeJob SummaryWe are seeking a highly skilled Compliance Investigator to join our team at Trinity Consultants - Advent Engineering. As a Compliance Investigator, you will be responsible for conducting thorough investigations into deviations and compliance issues, and providing recommendations for corrective actions.Key ResponsibilitiesConduct detailed...
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Compliance Investigator
1 week ago
Toronto, Ontario, Canada Trinity Consultants - Advent Engineering Full timeJob SummaryWe are seeking a highly skilled Compliance Investigator to join our team at Trinity Consultants - Advent Engineering. As a Compliance Investigator, you will be responsible for conducting thorough investigations into deviations and compliance issues, and providing recommendations for corrective actions.Key ResponsibilitiesConduct detailed...
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Compliance Investigator
4 weeks ago
Toronto, Ontario, Canada Bank of Montreal Full timePosition Overview:The Compliance Investigator plays a crucial role in safeguarding the integrity of our organization by providing thorough investigative services.Key Responsibilities:Conduct investigations into potential threats, violations, or misconduct related to personnel or company assets.Implement strategies focused on risk reduction and recovery,...
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Senior Investigative Manager
1 week ago
Toronto, Ontario, Canada Control Risks Full timeAbout the RoleWe are seeking a highly experienced and skilled professional to join our team as a Senior Investigative Manager. This is a critical role that requires a strong background in investigative research, business development, and team management.Key ResponsibilitiesManage and execute complex investigative projects utilizing proprietary and specialist...
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Senior Investigative Manager
2 weeks ago
Toronto, Ontario, Canada Control Risks Full timeAbout the RoleWe are seeking a highly experienced and skilled professional to join our team as a Senior Investigative Manager. This is a critical role that requires a strong background in investigative research, business development, and team management.Key ResponsibilitiesManage and execute complex investigative projects utilizing proprietary and specialist...
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Trade Compliance Specialist
2 weeks ago
Toronto, Ontario, Canada Trade Compliance Recruiting Solutions Full timeJob SummaryWe are seeking a highly skilled Trade Compliance Specialist to join our team at Trade Compliance Recruiting Solutions. As a key member of our organization, you will be responsible for ensuring compliance with trade regulations and laws.Key ResponsibilitiesServe as the subject matter expert in Trade Compliance, providing guidance and support to the...