Compliance Officer - Toronto, Ontario

Job summary · 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. · QualificationsPossess compliance or related branch/operations w ...

We are looking for a detail-oriented and knowledgeable Compliance Officer to join our team and provide outsourced compliance support to our clients. · Client Compliance Support: Acting as the designated compliance officer for assigned clients. · Ongoing Monitoring and Risk Manage ...

The Compliance Officer will be responsible for the following: · Support day to day compliance responsibilities and annual compliance work plan deliverables including: regulatory reporting and filings, co-investor onboarding, marketing reviews, ongoing monitoring and testing regul ...

+Investigate and respond to client complaints, regulatory inquiries, and internal matters involving registrant conduct as a Compliance Officer. This role serves as a key resource within the Compliance Department, providing leadership, expertise, and sound judgment across a wide r ...

Responsibility & Accountability for supporting the Compliance and Risk Manager with analytical and reporting activity in the relevant country area including Corporate and partners sales areas. · Compliance and risk awareness with a good understanding of the compliance challenges ...

+As Compliance Officer, you will support the RBC Investor Services (RBCIS) Compliance team for Canada. · + · +A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation, commissions, and stock where applicable · ...

We're building a relationship-oriented bank for the modern world. · We need talented, passionate professionals who are dedicated to doing what's right for our clients. · At CIBC, we enable the work environment most optimal for you to thrive in your role. You'll have the flexibili ...

The candidate will work closely with Operations Director and internal teams including investment, finance, and client-facing functions. The Compliance Officer will be responsible for the following: Support day to day compliance responsibilities and annual compliance work plan del ...

We provide various consulting services related to MSB (Money Services Business) and PSP (Payment Service Provider) registration with FINTRAC and the Bank of Canada.Advapay supports its clients with compliance program development, business plan drafting, and bank account opening, ...

We're building a relationship-oriented bank for the modern world. We need talented, passionate professionals who are dedicated to doing what's right for our clients.At CIBC, we embrace your strengths and your ambitions, so you are empowered at work. Our team members have what the ...

We are seeking an experienced Compliance Officer to oversee and manage all aspects of our compliance programs. · Monitor and interpret gaming regulations, laws, and industry standards. · Develop, implement, and regularly update compliance policies and procedures. · Conduct regula ...

This role supports the Compliance and Risk Manager with analytical and reporting activity. The Compliance Officer is responsible for compliance analysis & support of all activity in the country area including Corporate and partners sales areas. · Responsibility & Accountability f ...

This role supports the Compliance and Risk Manager with analytical and reporting activities in the relevant country area including Corporate and partners sales areas. ...

We are seeking a Compliance Officer to join our team in Toronto. · ...

We are seeking a Compliance Officer to join our team at Raymond James. The successful candidate will be responsible for trade approvals, monthly account reviews and social media management. · ...

Reporting to the Senior Manager, Compliance, you will be primarily responsible for trade approvals, monthly account reviews and social media management.You will also be responsible for contacting sales staff to implement corrective actions and ensuring compliance with the firm's ...

As a Compliance Officer you will play a key role in investigating and responding to client complaints regulatory inquiries internal matters involving registrant conduct. · Conduct investigations of client complaints in accordance with CIRO Rules including detailed analysis of cli ...

As Compliance Officer, you will support the RBC Investor Services (RBCIS) Compliance team for Canada. · ...

We are seeking a Compliance Officer to join our team. In this role, you will work closely with colleagues across investment, operations, and corporate teams to translate regulatory requirements into practical solutions. · Monitor regulatory developments and ensure policies remain ...

Compliance Officer Build the future with us Are you eager to contribute to the purpose of a company that aims to help its clients feel confident and secure about their future? · ...