Compliance Officer

1 day ago

Mississauga, Canada Edward Jones Full time

Join to apply for the Compliance Officer - 18 Month Contract role at Edward Jones This range is provided by Edward Jones. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more. Base pay range CA$75,100.00/yr - CA$123,900.00/yr Job Overview The Compliance Officer is responsible for ensuring compliance with laws and regulations of the various regulatory bodies as they relate to securities registration and insurance licensing for individuals, the firm, and branch locations. The role is also responsible for ensuring compliance with internal policies through end-to-end processes and the oversight, including monitoring and testing, of delegated activities such as delivery of registration presentations and training to financial advisor and registered branch associate trainees during onboarding. Key Responsibilities Reporting and/or submission to CIRO, other self-regulatory organizations or Insurance Councils in advance of regulatory due dates. Development and implementation of policies and procedures. Preparation and/or approval of Compliance Bulletins or other written communications for branch team members and others in the firm. Identification of problem situations or possible breaches of applicable regulations or policies, and recommendation and implementation of corrective actions. Preparation and delivery of training that may be necessary to deliver key compliance messages to home office associates or branch office associates, including assessment of CE eligibility for internally created training, tracking and reporting to appropriate areas. Compilation and regular reporting of statistics to senior staff, partners and other departments as appropriate, including projected budget for registration and licensing of firm, individuals and branch locations. Provide guidance and support as Compliance SME to other business areas. Help to foster risk and compliance culture within the organization (workshops, training, awareness). Qualifications Education and Experience Minimum Education: Bachelor's degree or equivalent experience. Preferred Education: Bachelor's degree. Minimum Experience: 3-5 years. Preferred Experience: 3-5 years. Licenses/Certifications CSC or RR Retail Securities Exam and CPH or CIRE. Investment Dealers Supervisors Course or Supervisors Exam – Preferred. Benefits At Edward Jones, we value and respect our associates, and we recognize individual efforts through a rewards program that promotes a long-term career, financial security and well-being. The salary range for this role is based on national data and actual pay is based on skills, experience, education, and other relevant factors. EEO Statement Edward Jones does not discriminate on the basis of race, color, gender, religion, national origin, age, disability, sexual orientation, pregnancy, veteran status, genetic information or any other basis prohibited by applicable law. #J-18808-Ljbffr

  • Compliance Analyst, Back Office Compliance

    3 days ago

    Mississauga, Canada SBI Canada Bank Full time

    **SBI Canada Bank was established in Canada in 1982 as a wholly owned subsidiary of State Bank of India, the largest bank in India.** **Compliance Analyst, Back Office Compliance** **This position reports to the Manager-Back Office Compliance /VP-Back Office and is primarily responsible for performing the following functions**: - Primarily responsible for...

  • Compliance Officer

    5 days ago

    Mississauga, Canada AtkinsRéalis Full time

    Job Description Compliance Officer AtkinsRéalis is one of Canada's largest private sector nuclear engineering groups. We have been providing a wide range of services to the nuclear industry in Canada and around the world since for more than 60 years. We are proud to be the steward of Canadian CANDU nuclear technology. The position of Compliance Officer is...

  • Safety Compliance Officer

    6 days ago

    Mississauga, Canada Groupe Robert Full time

    Under the direction of the Safety & Compliance Manager, the Compliance Officer ensures the safety and compliance of asset and freight shipments under his/her responsibility. Prevention, Safety & Compliance Verifies, audits, analyzes, complies by informing, training and supporting driver meetings by supporting drivers primarily in relation to: - Hours of...

  • Senior Compliance Officer

    3 weeks ago

    Mississauga, Canada Embark Student Corp. Full time

    Senior Compliance Officer Department: Assurance Employment Type: Full Time Location: Head Office Reporting To: Director, Corporate Compliance Compensation: $65,000 - $75,000 / year Description Exciting news! Embark is moving its headquarters to the financial district in Toronto, ON. effective Q2 2026! Until then, our office remains in Mississauga,...

  • Fintrac Compliance Officer

    2 weeks ago

    Mississauga, Canada Cityscape Real Estate Full time

    **Overview** The Compliance Officer plays a crucial role in ensuring that our organization adheres to legal standards and internal policies. This position involves developing, implementing, and monitoring compliance programs to mitigate risks and ensure ethical business practices. The Compliance Officer will work closely with various departments to foster a...

  • Senior Compliance Officer

    3 weeks ago

    Mississauga, Canada Embark Student Corp. Full time

    We are seeking a highly motivated Senior Compliance Officer with 3-5 years of experience in a similar role, preferably within a Fintech environment. The successful candidate will be responsible for ensuring compliance with applicable laws, regulations, and internal policies across the organization.You will play a critical role in maintaining the company's...

  • Safety & Compliance Officer

    1 week ago

    Mississauga, Canada Cardinal Couriers Full time

    Safety & Compliance Officer, Cardinal Couriers Are you a Safety & Compliance professional in the transportation industry looking for a new challenge? Cardinal Couriers is a mid-sized, family-owned carrier with terminals in Ontario and Quebec, and approximately 250 company drivers and owner operators. We are looking for a Safety & Compliance Officer to...

  • Environmental Compliance Officer

    4 days ago

    Mississauga, Canada Flatiron Construction Corp Full time

    Overview: Are you a passionate about environmental stewardship? As the Environmental Compliance Officer, you will provide technical input on environmental monitoring and design or construction methods to ensure compliance with environmental specifications or regulatory standards. Bring your diverse ideas to build stronger, more resilient communities. What...

  • Safety and Compliance Officer

    4 days ago

    Mississauga, Canada Triple Trans Mill Services Ltd. Full time

    **Key Responsibilities**: - Regulatory Compliance: Monitor and enforce compliance with federal, provincial, and local regulations, including CVOR, Ministry of Transportation, FMCSA, DOT, OSHA, and EPA standards. - Safety Program Management: Oversee the development, implementation, and continuous improvement of the company's safety programs to reduce...

  • Environmental Compliance Officer

    1 week ago

    Mississauga, Ontario, Canada FlatironDragados Full time $60,000 - $90,000 per year

    Are you a passionate about environmental stewardship ? As the Environmental Compliance Officer , you will p rovide technical input on environmental monitoring and design or construction methods to ensure compliance with environmental specifications or regulatory standards.B ring your diverse ideas to build stronger, more resilient communities.Apply now...