Compliance Lead: Complaints

A leading financial services company is seeking a Compliance Officer for Complaints and Regulatory Investigations in Toronto. The role involves assessing complaints, preparing reports, and ensuring compliance with regulations. Candidates should have 5+ years of experience in the investment industry, strong communication skills, and relevant qualifications....

A financial services firm is seeking a Compliance Manager for Complaints & Investigations in Toronto, Ontario. In this role, you will oversee compliance operations while managing a team dedicated to handling client complaints and ensuring regulatory adherence. The ideal candidate will possess significant experience in the financial services sector,...

A financial services firm is seeking a Compliance Manager for Complaints & Investigations in Toronto, Ontario. In this role, you will oversee compliance operations while managing a team dedicated to handling client complaints and ensuring regulatory adherence. The ideal candidate will possess significant experience in the financial services sector,...

Compliance Manager - Complaints & InvestigationsJoin to apply for the Compliance Manager - Complaints & Investigations role at Transamerica.Job SummaryOversee day-to-day operations of the World Financial Group Canada compliance program, including compliance processes, regulatory examinations, compliance audits, Tier 2 supervision, and compliant...

Compliance Manager - Complaints & Investigations Join to apply for the Compliance Manager - Complaints & Investigations role at Transamerica . Job Summary Oversee day-to-day operations of the World Financial Group Canada compliance program, including compliance processes, regulatory examinations, compliance audits, Tier 2 supervision, and compliant handling....

**What is your opportunity?** As a Compliance Manger, you will be a member of the Regulatory Complaint, Investigation & Inquiries (RCII) team that supports Royal Mutual Funds Inc. (RMFI), RBC Dominion Securities (RBC DS) and other RBC registered firms. You will primarily be responsible for complaint management and investigation related to RMFI regulatory...

Compliance Officer, Complaints and Regulatory Investigations Join to apply for the Compliance Officer, Complaints and Regulatory Investigations role at CI Financial 1 week ago Be among the first 25 applicants At CI, we see a great place to work as one that is a safe place for everyone to have a voice, where people are empowered to take ownership over...

Compliance Officer, Complaints and Regulatory Investigations Join to apply for the Compliance Officer, Complaints and Regulatory Investigations role at CI Financial 1 week ago Be among the first 25 applicants At CI, we see a great place to work as one that is a safe place for everyone to have a voice, where people are empowered to take ownership over...

At CI, we see a great place to work as one that is a safe place for everyone to have a voice, where people are empowered to take ownership over meaningful work, where there is an opportunity to grow through stretching themselves, where they can work on innovative products and projects, and where employees are supported and engaged in doing so. JOB...

OverviewAs Compliance Officer, you will be responsible for certain activities covered by the Regulatory Complaints, Investigations and Inquiries (RCII) team. Primary responsibilities will cover onboarding, documentation gathering and file management for regulatory complaints and inquiries related to Royal Mutual Funds Inc. and RBC Dominion Securities...