- Act as escalation point for issues arising out of compliance reviews and investigations. Take ownership of issues and work with business towards satisfactory resolutions for all parties in an effective tactical and insightful manner.
- Ensure high quality work, and development, maintenance and / or refinement of standards within the team.
- Continuously develop and maintain knowledge of applicable regulatory and compliance requirements, developments, and issues
- Support investigations on non-compliant matters and issues through verification of information analysis, identification of issues, and escalation of questionable issues.
- Reviewing Marketing materials on a timely basis (social media reviews etc.)
- Expert in monitoring and testing of procedures and policies designed to meet applicable securities regulatory requirements.
- Participate in ongoing projects and key deliverables providing guidance and support and ensuring the prompt and thorough resolution of issues as required.
- Other duties as required.
- Strong background in securities industry compliance, particularly CIRO / IIROC rules 1300, 2500 and the Universal Market Integrity Rules (UMIR).
- Experienced in Compliance, Risk, AML, PIPEDA industry is required.
- Strong working knowledge of Canadian operations, markets, and trading landscape including Options.
- Strong attention to detail, and problem-solving skills with the ability to thrive in a fast-paced environment.
- Highly organized and able to wear multiple hats for a fast-growing start-up.
- Able to balance and effectively prioritize multiple diverse challenges and conflicting responsibilities.
- 7 to 10+ years of experience in a broker dealer, in Compliance, AML, Risk roles.
- CSC, CPH, IDSC required & other CSI courses an asset.
- Strong problem solving, control, and project management skills.
- Strong sense of urgency when it comes to support resolution.
- Proven ability to work efficiently and accurately under pressure in a fast-paced, multi-tasking environment.
- Ability to speak Mandarin, Canadian French a plus / preferred
-
Compliance Associate
5 days ago
IVARI Toronto, Canada**Welcome to**_ _**ivari** · Let us introduce ourselves. With 300 employees across Canada, ivari is a company that's making a difference in the world of life insurance. How? By finding and hiring employees who are passionate about helping people protect their families, and by giv ...
-
Fresenius Kabi Canada Toronto, Canada**WHO WE ARE**: · - Caring for Life. Make a difference. Be the difference._ · If you are looking to work for a growing, global corporation that is focused on making meaningful improvements in the safety, affordability, and availability of the care medical professionals provide to ...
-
Principal Associate, Compliance Advisory
1 week ago
Capital One Toronto, Canada161 Bay Street , Canada, Toronto,Toronto, Ontario, · Principal Associate, Compliance Advisory · As a Compliance Advisor at Capital One, you'll be part of a team that values your perspective. You'll perform a key second line of defense role, providing advice and to effectively cha ...
-
Associate, Compliance Risk and Diligence
3 days ago
Kroll Toronto, CanadaHave an analytical mind and enthusiasm for research and investigation? · Come join our thriving global team and work with Fortune 500 clients in a highly collaborative, fast-paced environment · We are committed to the continuous professional support and development of our people; ...
-
Risk and Regulatory Compliance Associate
5 days ago
RSM US LLP Toronto, CanadaWe are the leading provider of professional services to the middle market globally, our purpose is to instill confidence in a world of change, empowering our clients and people to realize their full potential. Our exceptional people are the key to our unrivaled, inclusive culture ...
-
Associate, Compliance Risk and Diligence
1 day ago
Kroll Toronto, CanadaIn a world of disruption and increasingly complex business challenges, our professionals bring truth into focus with the Kroll Lens. Our sharp analytical skills, paired with the latest technology, allow us to give our clients clarity—not just answers—in all areas of business. We ...
-
Associate, Compliance Risk and Diligence
23 hours ago
Kroll, LLC Toronto, CanadaIn a world of disruption and increasingly complex business challenges, our professionals bring truth into focus with the Kroll Lens. Our sharp analytical skills, paired with the latest technology, allow us to give our clients clarity—not just answers—in all areas of business. We ...
-
Associate, Compliance Risk and Diligence
1 week ago
Kroll, LLC Toronto, CanadaIn a world of disruption and increasingly complex business challenges, our professionals bring truth into focus with the Kroll Lens. Our sharp analytical skills, paired with the latest technology, allow us to give our clients clarity—not just answers—in all areas of business. We ...
-
Associate, Compliance Risk and Diligence
1 week ago
Kroll Toronto, CanadaIn a world of disruption and increasingly complex business challenges, our professionals bring truth into focus with the Kroll Lens. Our sharp analytical skills, paired with the latest technology, allow us to give our clients clarity—not just answers—in all areas of business. We ...
-
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 ...
-
Associate/team Lead, Compliance Monitoring
5 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 ...
-
Kroll Toronto, CanadaIn a world of disruption and increasingly complex business challenges, our professionals bring truth into focus with the Kroll Lens. Our sharp analytical skills, paired with the latest technology, allow us to give our clients clarity—not just answers—in all areas of business. We ...
-
Lead Associate, Compliance Risk and Diligence
23 hours ago
Kroll, LLC Toronto, CanadaIn a world of disruption and increasingly complex business challenges, our professionals bring truth into focus with the Kroll Lens. Our sharp analytical skills, paired with the latest technology, allow us to give our clients clarity—not just answers—in all areas of business. We ...
-
Compliance Associate
1 week ago
Medical Saints Ltd Scarborough, Canada**COMPLIANCE ASSOCIATE** · **Roles and Responsibilities** · - Conduct site quality duties including · - Sanitation verification · - Environmental monitoring · - Sampling · - Raw material review and release · - Deviation investigation and CAPA · - Change Controls · - Material appr ...
-
Compliance Associate
3 days ago
Aligned Capital Partners Inc. Burlington, CanadaAligned Capital Partners Inc. is a fast-growing investment dealer with a dynamic team looking to expand our business exponentially. Our corporate culture encourages teamwork, service excellence, creativity, and initiative. We are currently hiring for a **full-time Compliance Asso ...
-
Compliance Associate
1 week ago
Aligned Capital Partners Inc. Burlington, CanadaAligned Capital Partners Inc. is a fast-growing investment dealer with a dynamic team looking to expand our business exponentially. Our corporate culture encourages teamwork, service excellence, creativity, and initiative. We are currently hiring for a **full-time Compliance Asso ...
-
Compliance Associate
1 week ago
Manulife Toronto, Canada Full timeJob Description · : We're looking for a Compliance Associate to join our Integrated Compliance Services team at MBPS. In this role, you are expected to identifies potential unusual activities that may be indicators of money laundering, or terrorist financing, monitors and inves ...
-
Compliance Associate
2 days ago
CC&L Private Capital Toronto, CanadaWhat You Bring Experience: You have a minimum of one year of related work experience, ideally in compliance, finance, or operations from a financial and/or investment firm. · Education: You have an undergraduate degree and industry-specific coursework (Canadian Securities Cours ...
-
Quality and Compliance Associate
3 days ago
Seaford Pharmaceuticals Inc. Mississauga, CanadaUnder the direction of the department manager, the Quality and Compliance Associate is responsible to carry out Quality Assurance functions at Seaford Pharmaceuticals to ensure compliance with all regulatory requirements applicable to Seaford's operations. · The Quality and Compl ...
-
Supplier Compliance Associate
1 week ago
Michael Page International (Canada) Toronto, ON, CanadaOur client is a global electronics / innovative tech company - based in Toronto. He is looking a Supply-Chain Compliance Specialist. · Working closely with VP of Supply Chain Management of the company, the Supply Chain Compliance Specialist will oversee and coordinate all compli ...
Senior Compliance Associate - Toronto, Canada - Webull Securities Limited
Description
Webull Canada – Toronto
Senior Compliance Associate
Webull Securities (Canada) Ltd (Webull Canada) will provide a mobile first Order Execution Only retail investing platform. We are looking for a talented financial service Compliance professional in the Toronto area to be part of our growing team. Reporting to the CCO of Webull Canada the Senior Compliance Associate will work closely with the CCO and other Webull teams by delivering innovative and effective solutions as part of our Compliance team supporting Webull Canada offering to Canadian residents.
Responsibilities
Skills and Experiences
Requirements
Webull promotes diversity and provides equal opportunity for all applicants and employees. We are dedicated to building a company that represents a variety of backgrounds, perspectives, and skills. We believe that the more inclusive we are, the better our work (and work environment) will be for everyone.