Connexion Inscription gratuite
Postuler

Première détection par notre source: il y a 4 heures

Compliance (Corporate Branch Manager)

@ Argosy Securities Inc.

Toutes ses offres

Toronto, Ontario

Temps plein2+ ans d’expérience
Postuler
SIGNAUX

En bref

Argosy Securities Inc. is hiring a full-time Compliance (Corporate Branch Manager) for a CIRO investment dealer member. The role supervises trading activity, reviews new accounts, conducts branch audits in an assigned region, and reviews marketing and surveillance materials. The candidate works under minimal supervision in a fast-paced environment and must meet one of three CIRO supervisor registration conditions.

Responsabilités :

  • Tier 1 and Tier 2 trade supervision
  • Suitability review and approval of new accounts
  • Branch visits and audits in assigned region
  • Marketing materials review and approval
  • OBA, email surveillance and social media review

Résumé des exigences :

  • Current, previous, or near-term CIRO Supervisor of RRs registration
  • Two years of relevant CIRO or former IIROC/MFDA dealer experience
  • Completion of CIRO 2026 Supervisor Exam or IDSC enrollment
  • Knowledge of Tier 1 and Tier 2 trade supervision
  • Good communication skills with Advisors
Source et dates

Type de source non vérifié · apify-linkedin

Date publiée par l’employeur
Non fourni
Première détection par notre source
2026-11-14
Mise à jour du dossier source
2026-11-14

Ces dates décrivent le dossier source, pas une vérification en direct du recrutement. Consultez l’offre originale.

Détails du poste

NiveauGestionnaire
DomaineFinance et comptabilité
Expérience2 an(s) et plus
Heures par semaine40 (estimé)
Déplacementsroute : modérés
Milieu de travailBureau, Chez les clients
PositionSurtout assis
Exigences physiquesphysique faible · ordinateur élevé
LanguesEnglish
Permis et certificationsCIRO Supervisor of RRs, CIRO 2026 Supervisor Exam, Investment Dealer Supervisor Course (IDSC)

Résumé et détails rédigés par l’IA à partir de l’offre; l’offre de l’employeur fait foi.

Postuler

Argosy Securities Inc.

Toutes ses offres
ChampValeur
Offres sur Jobsy2
Description

We are seeking an individual for the position of Compliance (Corporate Branch Manager) with a CIRO investment dealer member. The successful candidate will be able to work in a fast-paced environment and perform their duties under minimal supervision.

MUST satisfy at least one (1) of the following:

1. Currently registered as a CIRO Supervisor of RRs or as a Supervisor designated to be responsible for the opening of new accounts and account supervision or,

2. Previously registered as a CIRO Supervisor of RRs or as a Supervisor designated to be responsible for the opening of new accounts and account supervision for at least two years within the last three years or,

3. Be eligible to apply for registration immediately upon hire based on:

a) Two years of relevant experience with a CIRO dealer (or a former IIROC or MFDA dealer).

b) Completion of the CIRO 2026 Supervisor Exam or enrollment in CSI's Investment Dealer Supervisor Course (IDSC) prior to December 31, 2025. The IDSC must have been completed within the previous 36 months.

Primary Duties:

• Tier 1 and/or Tier 2 supervision of trading activity

• Suitability review and approval of new accounts

• Branch visits/audits in the assigned region

• Marketing materials review and approval

• OBA, email surveillance, and social media review and supervision

• Other duties as assigned

Skills Required:

• Knowledge of Tier 1 and Tier 2 trade supervision

• Good communication skills to effectively interact with Advisors

In your application, please provide the completion dates of all relevant courses.

Emplois semblables

  • Compliance, Risk & Controls Advisor - Personal Lines

    British Columbia +6

    Wawanesa Insurance

    7+ ansCandidates need 7+ years of P&C Personal Lines insurance experience and experience handling regulatory, audit and compliance issues. Strong analytical, communication and organizational skills are needed; CRM, CIP or FCIP is an asset.

    Ethidex

  • Compliance, Senior Associate

    Télétravail au Canada
    Télétravail

    Coinbase

    5+ ansCandidates need 5+ years of financial crimes compliance experience in AML/ATF, KYC and sanctions, ideally in crypto, fintech or a FINTRAC-regulated entity. Working knowledge of FINTRAC guidance, the PCMLTFA, STR and LVCTR obligations, and crypto transaction flows is required, along with a bachelor's degree or equivalent.

    Regulatory compliance, Anti-money laundering, Know your customer, Reporting, Documentation, Workflow

  • Senior FinOps Architect

    Toronto, ON
    Temps plein

    Yochana

    9+ ansYochana needs candidates with 9+ years in cloud infrastructure, at least 5 in FinOps or cloud cost optimization, and expert experience on two major public clouds. Hands-on skill with Apptio Cloudability, Datalink and Apptio BI is essential, and a master's degree in computer science, finance or business is required.

    Apptio Cloudability, Datalink, Apptio BI, Power BI, Hyperion, Microsoft Power Apps

  • Partner Marketing Manager

    Toronto, ON
    96k–178k $/anSur placeTemps plein

    Microsoft: Every company has a mission.

    5+ ansCandidates need a bachelor's degree in business, marketing or a related field with 5+ years of sales, marketing or business development experience, plus proven experience running partner marketing campaigns and investment measurement across digital and retail channels.

    Power BI

    Director, Sales

    Toronto, ON
    181k–303k $/anSur placeTemps plein

    Microsoft: Every company has a mission.

    7+ ans3+ gestionCandidates need a master's degree (or a bachelor's degree with more years of experience) in business, sales, marketing, computer science or engineering, plus 7 or more years in sales or leadership and at least 3 years of direct people management. Preferred experience is 5 or more years leading sales teams and managers.

    Sales, Lead a team, Sales targets, Customer service, Coaching, Geographic areas

  • Specialist, Search & Social

    Toronto, ON
    40k–50k $/anTemps plein

    Publicis Groupe Holdings B.V

    1+ ansCandidates need 1 to 2 years of paid search experience with hands-on Google Ads skills, working knowledge of Meta Ads Manager, and advanced Excel and PowerPoint. Strong writing, attention to detail and the ability to manage multiple deadlines are also required.

    Google Ads, Microsoft Advertising, Meta Ads Manager, Excel, PowerPoint

  • Head of Upper School

    Toronto, ON
    Temps plein

    Havergal College

    10+ ans10+ gestionCandidates need an advanced graduate degree (preferably in Education), 10+ years of leadership in a Grade 7–12 school, and Ontario College of Teachers certification or the ability to obtain it. Principal's Qualifications are preferred, along with strong people-management skills.

    Critical thinking, Process improvement, Leadership, OCT, Team leadership, Give constructive feedback

  • Business Developer — Stroke & Incomplete Spinal Cord Injury, Ontario

    Toronto, ON
    Temps plein

    Kurage

    Candidates need a health sciences, kinesiology, physiotherapy or business degree, and proven medical device or healthcare sales results. Experience with complex hospital sales, specialist physicians, stroke care and Ontario financing is a strong asset.

    Sales, Forecasting, Presentation skills, Procurement, Represent the organisation, Physiotherapy

Lieux et modes de travail

Lieux

Tout le CanadaTélétravail · Hybride · Sur place · Sur le terrain

Astuce : ajoutez le télétravail pour élargir la recherche.

Exclure des lieux

Mode de travail

Offres de cette entreprise dans les résultats

Voici les offres de cette entreprise chargées dans votre recherche. Elle peut avoir d’autres postes ouverts.