Senior Compliance Examiner — Business Conduct

**Position Title: Business Conduct Compliance Examiner (ID)** **Department: Business Conduct Compliance** **Location: Toronto** **Status: Permanent, Full-time (Hybrid)** As a self-regulatory organization, Canadian Investment Regulatory Organization (CIRO) takes our responsibility of setting high-quality regulatory and investment industry standards...

Position Title Business Conduct Compliance Examiner Department Business Conduct Compliance Location Toronto Employment Status Permanent Full-Time (Hybrid) Day in the life of As a self-regulatory organization, the Canadian Investment Regulatory Organization (CIRO) takes our responsibility of setting high-quality regulatory and investment industry standards...

Position Title: Senior Business Conduct Compliance Examiner Department: Business Conduct Compliance Location: Toronto Status: Regular Full-time Day In The Life Of As a self‑regulatory organization, Canadian Investment Regulatory Organization (CIRO) takes our responsibility of setting high‑quality regulatory and investment industry standards seriously...

**Position Title: Business Conduct Compliance Examiner** **Department: Business Conduct Compliance** **Location: Toronto** **Status: Permanent Full-Time (Hybrid)** **Day in the life of**: As a self-regulatory organization, the Canadian Investment Regulatory Organization (CIRO) takes our responsibility of setting high-quality regulatory and investment...

Sr Membership Intake Examiner (Business Conduct Compliance) Position Title: Sr Membership Intake Examiner (Business Conduct Compliance) Department: Office of the Investor, Member Intake, and Innovation Location: Toronto, Vancouver, Calgary, Montreal Status: Regular Full-time (Hybrid) Hiring Range: $92,000-$115,000 Day in the Life The Membership Intake Senior...

Position Title: Manager, Business Conduct Compliance Department: Business Conduct Compliance Location: Toronto Status: Regular Full-time (Hybrid) Day in the life of: As a self-regulatory organization, the Canadian Investment Regulatory Organization (CIRO) is committed to setting high regulatory standards for the investment industry, safeguarding investors,...

Position Title: Manager, Business Conduct Compliance Department: Business Conduct Compliance Location: Toronto Status: Regular Full-time (Hybrid) Day in the life of: As a self-regulatory organization, the Canadian Investment Regulatory Organization (CIRO) is committed to setting high regulatory standards for the investment industry, safeguarding investors,...

**Position Title: Trading Conduct Compliance Examiner** **Department: Trading Conduct Compliance** **Location: Toronto** **Status: Permanent Full-time (Hybrid)** **Day in the life of**: Examine Dealers’ processes, procedures and supervision for their compliance with trading related Requirements as defined in the Universal Market Integrity Rules (UMIR)...

**Branch Compliance Examiner** - 2300653 **Job Summary** **Essential Duties and Responsibilities** - Branch Examination: Conduct regular travel to various Branches. Prior to trips you will be required to conduct background reviews of the Branch offices. While there you will meet with staff including Branch Management and review required files. Also, there...

**Compliance Branch Examiner** - 2402795 - At Raymond James, _**_we _**_develop, _**_we _**_collaborate, _**_we _**_decide, _**_we _**_deliver, and _**_we _**_improve together_. Raymond James Ltd. is Canada’s leading independent investment dealers offering high quality investment products and services to Canadians seeking customized solutions to their...