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Compliance Monitoring Administrator
1 week ago
Ontario College Of Pharmacists Ordre des Pharmaciens de L Ontario Toronto, Canada**Position Summary**: · Responsible for monitoring compliance with remediation, oral cautions, orders, undertakings, health inquiries, and terms, conditions or limitations of pharmacy professionals following decisions made by the College's Inquiries, Complaints and Reports Commit ...
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Manager, Business Compliance Monitoring
1 day ago
BMO Financial Group Toronto, Canada100 King Street West Toronto Ontario,M5X 1A1 · **Mandate**: · As a member of the Wealth Monitoring & Testing Team, the Manager, Business Compliance Monitoring & Testing, Canada Wealth Management carries responsibility for delivering on components of the first line monitoring and ...
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Associate/team Lead, Compliance Monitoring
6 days ago
CPP Investments Toronto, CanadaCompany Description · **Make an impact at a global and dynamic investment organization** · When you invest your career in CPP Investments, you join one of the most respected and fastest growing institutional investors in the world. With current assets under management valued in e ...
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2024 Mlb Gameday Compliance Monitor
1 day ago
MLB Data Operations Toronto, CanadaThe job of the Gameday Compliance Monitor (GCM) is to ensure that all Club Personnel, adhere to all gameday requirements of the Basic Agreement, Major League Rules, and Major League Baseball Regulations, and all related directives of the Commissioner's Office. In this respect, GC ...
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Walmart Canada Corp Mississauga, ON, CanadaPosition Summary... · Support monitoring and continuous improvement efforts for the Anti-Corruption Compliance program in Canada and compliance with the U.S. Foreign Corrupt Practices Act (FCPA) and Canadian anti-corruption laws by conducting periodic Walmart compliance assessme ...
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Environmental Health
4 hours ago
UL Solutions Toronto, CanadaReporting to the Regional EHS Manager, the EHS Specialist is responsible for establishing and promoting safe and healthy working conditions for all employees and investigates conditions that may affect employee health and safety. · **This role is on-site (5) days a week in Toront ...
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Compliance Lead, Compliance Operations
1 day ago
OMERS Toronto, CanadaThe Compliance Lead reports to the Director, Compliance Operations. The role supports the Director in compliance monitoring to ensure organizational compliance with applicable policies and regulations as well as in projects that analyze and define process improvement initiatives, ...
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Conduct Operations Lead 22-36
1 week ago
Ontario College Of Pharmacists Ordre des Pharmaciens de L Ontario Toronto, Canada**Conduct Operations Lead (Maternity Leave Contract 12 months)** · **Position Summary** · Responsible for leading and coordinating all activities relating to the College's intakes processes, which includes complaints and all other information which may lead to an investigation or ...
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Compliance Officer
5 days ago
BMO Financial Group Toronto, Canada100 King Street West Toronto Ontario,M5X 1A1 · Assists in the implementation, maintenance and administration of a specific compliance program. Coordinates and performs risk assessment, monitoring, testing and surveillance activities to ensure program remains current and aligned w ...
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TD Bank Toronto, Canada403588BR · Anti-Money Laundering / Compliance & Regulatory Relations · Toronto, ON · March 20, 2023 · Company Overview · Department Overview · The Global Compliance Department is responsible for overseeing regulatory compliance across TDBG in accordance with the Global Compliance ...
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BMO Financial Group Toronto, Canada100 King Street West Toronto Ontario,M5X 1A1 · **Note this is a 1-year contract opportunity.** · BMOII's Trade Surveillance team within the Legal, Regulatory, Compliance and Procurement Group (LRCP) has an opening for an Associate Compliance Officer (1-year contract) who will be ...
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Environmental Compliance Officer
4 hours ago
Bantrel Toronto, CanadaWe are currently seeking a qualified Environmental Compliance Officer to join our **Infrastructure **team, based out of **Toronto, ON**. The Environmental Compliance Officer will be responsible for supporting the Environmental Compliance programs and providing technical and admin ...
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TD Bank Toronto, Canada**TD Description** · Stay current and competitive. Carve out a career for yourself. Grow with us. · **Department Overview** · - The Global Compliance Department is responsible for overseeing regulatory compliance across TDBG in accordance with the Global Compliance Operating Fram ...
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Compliance Officer
5 days ago
Independent Trading Group (ITG) Inc. Toronto, Canada**Position Title**: Compliance Officer · **Location**: Toronto · **Status**:Permanent, Full-time · **Position Overview**: As a Compliance Officer in the capital markets industry, your primary responsibility will be to assist and support the compliance team in ensuring that the or ...
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Vice President, Legal
1 day ago
OMERS Toronto, CanadaReporting to the Senior Vice President, Global Head of Compliance and Associate General Counsel, the Vice President, Legal & Compliance, Private Equity is a senior leader in the Compliance team supporting the Global Head of Compliance in the development and implementation of a gl ...
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Financial Crimes Analyst
1 week ago
MUFG Toronto, CanadaFinancial Crimes Analyst · **Job Summary**: · The primary responsibility is to assist the Chief Compliance Officer in the activities of compliance and anti-money laundering. · **Primary Accountabilities**: · **KYC**: · - Conduct screening on Customers and related parties. · - Be ...
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Vice President, Legal
4 hours ago
OMERS Toronto, CanadaWhy join us? · Are you looking to join a dynamic pension plan that embodies the strong values of its 500,000 members and is an industry leading global investor? If so, we would love to tell you our story. · At OMERS we put our people first and are proud to embrace the diversity o ...
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Compliance Manager
1 week ago
Centre for Commercialization of Regenerative Medicine Toronto, Canada**About CCRM**: · Position Summary · As a Compliance Manager at CCRM on the Deliver team, you are an experienced individual in the field of GMP manufacturing of regulated products who is driven by the opportunity to enable clinical translation of cell and gene therapies. You are ...
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Compliance Manager Fcc
1 day ago
Fidelity Investments Toronto, CanadaJob Description · This is a hybrid role with a mix of remote and in-office working · - Current work authorization for Canada is required for all openings._ · Who We Are · At Fidelity, we've been helping Canadian investors build better financial futures for over 35 years. We offer ...
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Supervisor, Compliance
6 days ago
Centre for Commercialization of Regenerative Medicine Toronto, Canada**About CCRM**: · As a Supervisor, Compliance, at CCRM, you are an experienced individual in the field of Good Manufacturing Practices (GMP) manufacturing of regulated products and driven by the opportunity to enable clinical translation of cell and gene therapies. You are respon ...
Compliance Monitoring - Toronto, ON, Canada - Lannick
Description
Our client is a leading Canadian bank.They are looking for a Compliance and Controls Manager who's responsibilities are executed in accordance with the bank's risk management and compliance policy and oversight requirements.
Opportunity to build out the position and make it your own, all with the support from the Risk & ComplianceHigh level of visibility as you will be working very closely with the entire Finance team, Risk & Compliance team, and Internal Auditors (outsourced)
Our client is one of the fastest growing companies in Canada and were recently acquired by the Ontario Teaches Pension Plan
Strong management team with a lot of tenured leaders
Company often participates in community events
Managing and reporting on operational risk in Finance including accounting operations, internal and external reporting, and regulatory reporting
Implementation and documentation of Finance internal controls, enhancing control descriptions, identification of control weaknesses and assisting in the remediation of deficiencies.
Perform testing on key controls and deliver timely reporting on New Initiative Risk Assessments (NIRA's) to help ensure an effective and efficient internal control environment within Finance.
Collaborate and work closely with risk and compliance teams and other internal and external stakeholders on all elements of the risk and compliance management program as it relates to Finance.
Finance Risk Assessment and ComplianceMaintain, review, and update the repository of Finance policies, standards, operating procedures, and guidelines.
Ensure compliance with relevant financial regulations, accounting standards, and internal controls in all financial activities.
Ensure Finance risk is being managed effectively while maintaining a customer and performance-oriented culture.
Review risk and compliance risk assessment reports for accuracy and completeness
Retain record of risk assessments, including documentation of any application of professional judgement
Monitor, coordinate and facilitate annual and trigger-based risk assessments across Finance to ensure timely completion.
Provide ongoing support to investigate and mitigate internal audit and regulatory risks and opportunities.
Identify risk trends and emerging risks across Finance and inform management and risk and compliance of the risk exposure.
Collaborate with risk and compliance teams on all elements of HomeEquity Bank's risk and compliance management program.Support risk and compliance teams with third party risk management and vendor governance including onboarding, financial risk assessment, monitoring, and reporting.
Work closely and collaboratively with other risk oversight functions as well as internal and external auditors.Manage and coordinate response to risk, compliance, internal audit, regulatory examinations or third-party independent reviews on behalf of management.
Recommend policy, procedure and control enhancements as required to address current and emerging risksControls Management, Testing and Reporting
Perform quality testing of Finance processes and internal controls.
Develop action plans to address identified issues and control gaps.
Implement action plans to remediate control gaps and monitor and report on progress.
Facilitate control assessments and liaise with compliance and risk to share control assessment findings.
Develop and maintain quality assurance testing plans and share testing plans, methodology and results with risk, compliance, and internal audit.
Perform quality assurance testing of adherence to enterprise-level requirements and business unit specific operating procedures.Maintain record of quality assurance testing working papers and relevant reporting
Regularly consult management and review risk, compliance, and internal audit testing results to determine appropriate updates to the quality assurance testing plan.
Monitor status of action plans, report analysis, provide updates, and escalate key issues and incidents to management, risk, compliance, and internal audit.
Perform root cause analysis on issues to identify risk themes and trends.Execute and report on existing and New Initiative Risk Assessments (NIRA) within Finance
Monitor and report on Key Risk Indicators (KRIs)
Manage and report on identified gaps and compliance issues.
Monitor and Report changes to the business profile and inform management, risk and compliance of changes.
Bachelor's degree in finance, accounting, business administration, or a related field.
Experience in risk management or internal audit or regulatory compliance in the finance and accounting domain.