Jobs
>
Toronto

    Anti-Money Laundering Compliance Senior Associate - Toronto, ON, Canada - CIRO / OCRI

    CIRO / OCRI
    CIRO / OCRI Toronto, ON, Canada

    2 weeks ago

    Default job background
    Description

    Position Title:
    Senior Compliance Officer (MFD)


    Department:
    Business Conduct Compliance

    Permanent Full-time (Hybrid)

    As a self-regulatory organization, Canadian Investment Regulatory Organization (CIRO) takes responsibility for setting high-quality regulatory and investment industry standards seriously, while protecting investors and supporting healthy capital markets in Canada.

    In Business Conduct Compliance (BCC) we take great pride in what we do.

    By joining our dynamic and collaborative team of industry professionals, you will have the opportunity through the examination process to make a difference for investors and the capital markets.

    As a key member of the team, the Senior Compliance Officer conducts field reviews of sales and business conduct compliance activities of Dealer Member head office and business locations.

    You will interpret and apply Dealer Member Rules to the evolving business models of firms.
    Train BCC Examiners by instructing them in the field on examination procedures, closely supervising their work and providing assessments of their progress to BCC Managers
    Gather information to assess a Dealer Member's business activities to determine the scope of the review and the areas of principal risk
    Assess the risk of assigned examination areas and follow procedures to ensure that examination objectives are achieved and conclusions are adequately addressed and supported
    Interact with senior management, supervisory and compliance staff of a Dealer Member in order to evaluate the effectiveness of the firm's controls
    Draft examination findings and prepare the examination report that is written in plain language, for Manager review
    The following courses are an asset: Investment Dealer Supervisors Course and Chief Compliance Officers Qualifying Exam (CCO) course, Canadian Compliance Course, Branch Managers' Examination Course
    Total of 4 years in a compliance, audit or supervisory function with a Dealer Member, or 4 years other related employment with a securities regulatory or self-regulatory organization
    Ability to quickly understand the risks associated with new business lines or products and to formulate practical examination procedures to address them
    Interest in ongoing learning and professional development in a compliance capacity
    Accommodations for individuals with disabilities are available.
  • Société Financière Manuvie

    Senior actuarial associate/associate actuary

    6 days ago

    Société Financière Manuvie Toronto, ON, Canada

    Nous sommes un fournisseur de services financiers qui s'emploie à faciliter les décisions de nos clients et de nos collègues partout dans le monde et à les aider à vivre mieux. De nos initiatives environnementales à nos investissements dans la collectivité, nous montrons la voie ...

  • Société Financière Manuvie

    Senior actuarial associate

    6 days ago

    Société Financière Manuvie Toronto, ON, Canada

    Nous sommes un fournisseur de services financiers qui s'emploie à faciliter les décisions de nos clients et de nos collègues partout dans le monde et à les aider à vivre mieux. De nos initiatives environnementales à nos investissements dans la collectivité, nous montrons la voie ...

  • Société Financière Manuvie

    Senior actuarial associate

    6 days ago

    Société Financière Manuvie Toronto, ON, Canada

    Nous sommes un fournisseur de services financiers qui s'emploie à faciliter les décisions de nos clients et de nos collègues partout dans le monde et à les aider à vivre mieux. De nos initiatives environnementales à nos investissements dans la collectivité, nous montrons la voie ...

  • Brookfield Asset Management, Inc

    Associate (Senior) Associate

    1 week ago

    Brookfield Asset Management, Inc Toronto, ON, Canada

    Associate / Senior Associate, Diligence Management (Private Equity) Brookfield Asset Management, Inc Toronto, Canada · Associate / Senior Associate, Diligence Management (Private Equity) Brookfield Asset Management, Inc Toronto, Canada Posted 1 day ago Permanent Competitive · Bro ...

  • Capital One Canada

    Associate (Senior) Associate

    1 week ago

    Capital One Canada Toronto, ON, Canada

    161 Bay Street , Canada, Toronto,Toronto, Ontario,Senior Search Associate, Marketing Overview · As a Senior Search Associate, you will join the Performance Marketing team and be a part of a collaborative cross-functional team responsible for driving customer growth and efficienc ...

  • BFL CANADA

    Associate (Senior) Associate

    1 week ago

    BFL CANADA Toronto, ON, Canada

    We support our employees to shape their career by encouraging continuing education and investing in training and development. · We put our employees at the center of what we do to allow them to grow personally and professionally, with projects and challenges that are motivating ...

  • Alvarez & Marsal Deutschland GmbH

    Senior Associate/Associate

    2 weeks ago

    Alvarez & Marsal Deutschland GmbH Toronto, ON, Canada

    Companies, investors, and government entities around the world turn to Alvarez & Marsal (A&M) for leadership, action, and results. Privately held since its founding in 1983, A&M is a leading global professional services firm that provides advisory, business performance improvemen ...

  • Collins Recruitment Group

    Senior Associate

    1 week ago

    Collins Recruitment Group Toronto, Canada

    The Role: · Senior Associate/Associate Financial Advisor - Private Investment Fund Sales (Private Equity Real Estate) · Company summary: · Our client is a recognized leader in private equity investments and is has 1 billion in assets under management. Their exponential growth is ...

  • Northwood Family Office LP

    Senior Associate

    1 week ago

    Northwood Family Office LP Toronto, ON, Canada

    Opportunity Awaits at Northwood Family Office: Senior Associate · Northwood Family Office is always on the lookout for dedicated and talented individuals to join our team, specifically in the capacity of Senior Associate. As Canada's leading multi-family office, we believe in h ...

  • Mpa Morrison Park Advisors Inc.

    Senior Associate

    18 hours ago

    Mpa Morrison Park Advisors Inc. Toronto, ON, Canada

    Morrison Park Advisors (MPA) is looking to hire a full-time Senior Associate to join the growing team in Toronto with an immediate start date. · MPA is a leading independent investment banking advisory firm based in Toronto and Calgary. · MPA advises clients on mergers and acqu ...

  • ConnectCPA, Chartered Accountants

    Associate (Senior) Associate

    1 week ago

    ConnectCPA, Chartered Accountants Toronto, ON, Canada

    Please note that the work location can be anywhere in Canada (remote working out of your home office) . Toronto, Ontario is the location of our head office. · ConnectCPA LLP is not your traditional accounting firm. We are an online/virtual firm, paperless, and tech-savvy. We are ...

  • Harmonic Fund Services

    Senior Associate

    1 week ago

    Harmonic Fund Services Toronto, ON, Canada

    Our Toronto office invitesapplicants for the position of: Senior Associate – Investor Services · Harmonic is one of the largest independent fund administrators, delivering a range of services and technology to private debt, hedge funds, fund of funds, private equity funds, priva ...

  • CAAT Pension Plan

    Senior Associate

    6 days ago

    CAAT Pension Plan Toronto, ON, Canada

    PLEASE APPLY ON COMPANY WEBSITE** · At CAAT, you belong to a collaborative, inclusive, and lively environment that sparks creativity and fosters open communication. · Comprehensive & Holistic Care · Our all-encompassing employee programs are designed to cater to every aspect of ...

  • Harmonic Fund Services

    Senior Associate

    1 week ago

    Harmonic Fund Services Toronto, ON, Canada

    Our Toronto office invitesapplicants for the position of: Senior Associate – Investor Services · Harmonic is one of the largest independent fund administrators, delivering a range of services and technology to private debt, hedge funds, fund of funds, private equity funds, priva ...

  • Ey

    Senior Associate

    1 week ago

    Ey Toronto, ON, Canada

    At EY, you'll have the chance to build a career as unique as you are, with the global scale, support, inclusive culture and technology to become the best version of you. And we're counting on your unique voice and perspective to help EY become even better, too. EY's people in mor ...

  • Bank of Montreal

    Senior Associate

    1 week ago

    Bank of Montreal Toronto, ON, Canada

    The Senior Associate role provides strategic and analytical support to the Operational Excellence & Growth team within Private Wealth. This role supports strategic and operational initiatives through data-driven decision making, including the design, development and implementatio ...

  • Caatpension

    Senior Associate

    3 days ago

    Caatpension Toronto, ON, Canada

    At CAAT, you belong to a collaborative, inclusive, and lively environment that sparks creativity and fosters open communication. · Our all-encompassing employee programs are designed to cater to every aspect of your life and well-being, ensuring you feel cherished and valued. Th ...

  • Uniqlo Canada

    Senior Associate

    5 days ago

    Uniqlo Canada Toronto, ON, Canada

    Reporting to the Store Manager and Area Loss Prevention Manager, the Loss Prevention (LP) Associate is responsible for day-to-day implementation of all Loss Prevention programs and initiatives within their assigned location. These responsibilities include, but are not limited to, ...

  • Aon

    Senior Associate

    4 days ago

    Aon Toronto, Canada Full time

    Senior Associate - Retirement consulting · Do you have a background in Actuarial Science or Mathematics? Are you looking to join an industry-leading team with a global firm? Aon has the opportunity you have been waiting for · This is a hybrid role with the flexibility to work ...

  • Aon Corporation

    Senior Associate

    2 days ago

    Aon Corporation Toronto, Canada Full time

    Senior Associate - Retirement consulting · Do you have a background in Actuarial Science or Mathematics? Are you looking to join an industry-leading team with a global firm? Aon has the opportunity you have been waiting for · This is a hybrid role with the flexibility to work bo ...