Senior Compliance Investigator, Regulatory Investigations

A leading financial services firm in Toronto seeks an experienced Senior Compliance Officer for the Investigations role. This position supports market integrity and investor protection by analyzing trading activities and conducting investigations. Candidates need a minimum of 5 years in compliance within financial services, strong knowledge of CIRO rules,...

Senior Compliance Officer, Investigations Join to apply for the Senior Compliance Officer, Investigations role at Raymond James Ltd. 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...

Senior Compliance Officer, Investigations Join to apply for the Senior Compliance Officer, Investigations role at Raymond James Ltd. 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...

At FSRA, our vision is to ensure financial safety, fairness, and choice for Ontarians. As a financial services regulator, we’re passionate about protecting consumers. Our principles-based approach means we can quickly and effectively respond to the changing needs of consumers and the industry. Our team combines industry expertise with commitment to public...

A leading bank is seeking a Senior Investigator to manage Anti-Money Laundering (AML) processes in Toronto. The ideal candidate will have 2 to 4 years of AML investigative experience and be skilled in analytical tasks. This role requires excellent communication skills and the ability to manage complex information effectively. Join a dynamic compliance team...

A leading bank is seeking a Senior Investigator to manage Anti-Money Laundering (AML) processes in Toronto. The ideal candidate will have 2 to 4 years of AML investigative experience and be skilled in analytical tasks. This role requires excellent communication skills and the ability to manage complex information effectively. Join a dynamic compliance team...

A leading bank is seeking a Senior Investigator to manage Anti-Money Laundering (AML) processes in Toronto. The ideal candidate will have 2 to 4 years of AML investigative experience and be skilled in analytical tasks. This role requires excellent communication skills and the ability to manage complex information effectively. Join a dynamic compliance team...

**Position Title: Investigator** **Department: Enforcement** **Location: Toronto** **Status: Permanent Full-time (Hybrid)** - Manipulative, deceptive, or other trading activity impactful to market integrity - Conduct issues within the advisor/firm management of client relationships and activity - Corporate finance and investment banking activity - Financial,...

At Raymond James,wedevelop,wecollaborate,wedecide,wedeliver, andweimprove 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 wealth management needs.Senior Compliance Officer, Investigations,Private Client Group (PCG)...

A leading financial services firm in Toronto is seeking a Compliance Officer to enhance compliance culture and manage regulatory investigations. The ideal candidate will have over 5 years of relevant experience, a university degree, and strong analytical skills. Responsibilities include administrative support for investigations, handling complaints, and...