(C) the non-compliance is part of a pattern of non-compliance; and. The compliance officer or the individual to whom the compliance officer reports is required…
CI Financial Corp. and all of our affiliates (“CI”) are committed to fair and accessible employment practices and provide reasonable accommodations for persons…
10+ years of compliance/law/audit expertise in the financial services industry or a regulator of the financial services industry, with at a minimum 5 years in a…
University degree (Business) or College certificate. Contributes to the overall success of the Registration Department in Canada ensuring specific individual…
Must have mutual fund license for more than 2 years. Must have branch manager license for more than 2 years. Testing compliance with regulatory requirements in…
As a subject matter expert, you will provide information and guidance to the public and real estate agents on all manners of inquiries and complaints,…
Reporting to the Chief Compliance Officer of RJLU, the Compliance Officer will primarily be responsible for handling daily retail trade and account monitoring,…
Identify potential areas of compliance vulnerability and risk; develop action plans for the mitigation of those risks and provide guidance on how to avoid…
Valid Driver’s license and access to a personal vehicle is required. Reporting to the Chief Operating Officer, The Client Service Compliance Officer will make…
Maintains a high level of awareness of compliance related changes and developments in the securities industry through the review of publications, participation…
Execute Tier 2 program accountabilities including trade surveillance, personal trading, management/oversight of NRD, social media monitoring, and trend analysis…
Reporting to the Chief Compliance Officer of RJLU, the Compliance Officer will primarily be responsible for handling daily retail trade and account monitoring,…
Contribute to the overall Avison Young strategy and policy making by advising the Chief Operating Officer on the compliance implications, risk appetite,…
Identify trends developing in trading of specific advisors and/or client accounts with an emphasis on suitability, concentration, potential conflicts of…
The Internal Controls Compliance program ensures the Company's global compliance with the provisions of National Instrument 52-109 and Section 404 of The…
Analyze the impact of legislative, regulatory and compliance changes on current procedures, processes and administrative systems/tools; provide summary and…
Completion of a postsecondary degree or certificate (e.g., legal studies, policy or public administration or a related discipline) – or a combination of…
The incumbent will be required to work closely with Retail Credit Solution Credit Officers and Retail Branch staff to ensure that credit files meet industry…
CI Financial Corp. and all of our affiliates (“CI”) are committed to fair and accessible employment practices and provide reasonable accommodations for persons…
Financial Services Regulatory Authority of Ontario (FSRA)
— Toronto, ON
Leading and/or performing on-site, desk, thematic or supervisory reviews to assess regulated entities’ compliance programs, which may include corporate…
