Compliance Officer

Emplois semblables

• 16m

  Compliance Officer

  York, ON

  Temps plein

  PE

  Professional Engineers Ontario

  5+ ansProfessional Engineers Ontario needs candidates with at least 5 years of work experience and a post-secondary degree in education administration, engineering, public administration or a related field. Strong Microsoft Office, CRM, Power BI and project tool skills, plus knowledge of professional regulation, are needed. A P.Eng. is an asset, and a driver's licence is required.

  Microsoft Office, Word, Excel, PowerPoint, Visio, SharePoint

• 46m

  Compliance Officer

  Toronto, ON

  Temps plein

  FS

  Financial Services Regulatory Authority of Ontario (FSRA)

  Candidates need proven experience in a regulated financial sector, knowledge of compliance standards and relevant Ontario legislation, and strong communication, mediation and analytical skills. Accounting or audit knowledge and experience with software applications are also expected.

  Software applications

• 3h

  Senior Compliance Officer

  Toronto, ON

  Temps plein

  GC

  Guardian Capital Group

  5+ ansCandidates need post-secondary education and 5 to 10 years in financial services or investment management. Working knowledge of NI 81-102 and NI 81-105, plus strong written and oral communication and the ability to work independently, is required.

  Microsoft Word, Microsoft Excel

• 9h

  Senior Compliance Officer

  Toronto, ON

  

  Bank of Montreal

  6+ ansBank of Montreal needs at least 6 years of relevant experience and a post-secondary degree or equivalent. Candidates need in-depth knowledge of consumer protection regulations, strong communication and analytical skills, and experience in financial services compliance or a financial institution's business line.

  6j

  Senior Compliance Officer, Capital Markets Regulatory Enquiries & Governance (12-months Contract)

  Toronto, ON

  

  Bank of Montreal

  5+ ansBank of Montreal needs candidates with at least 5 years of relevant experience, ideally at a senior level, and a post-secondary degree or equivalent. Candidates should have strong organizational, project coordination and communication skills, and knowledge of capital markets products such as equities, futures and options.

  Regulatory compliance, Reporting, Scheduling, Documentation, Hazard assessment, Decision making

• 2j

  Compliance Officer, RJLU

  Toronto, ON +1

  70k–80k $/anTemps plein

  

  Raymond James Ltd.

  2+ ansCandidates need at least 2 years in the financial industry, including supervision or compliance, plus knowledge of FINRA and SEC rules. The posting asks for FINRA Securities Industry Essentials, Series 7 and Series 24 or willingness to complete them, and U.S. broker-dealer experience is highly desired.

  Pershing NetX360

  3j

  Compliance Officer

  Toronto, ON +1

  78k–85k $/anTemps plein

  

  Raymond James Ltd.

  5+ ansCandidates need at least 5 years of compliance or branch operations experience in the securities industry and 2 years of derivatives experience. They must hold CIRO IR, Derivatives and Supervisors licences, and be proficient in MS Office and Dataphile.

  Dataphile

• 4j

  Compliance Officer, Temporary - 12 Months

  Toronto, ON

  85k–95k $/anTélétravail

  

  Aviso Wealth: As a trusted partner, Aviso Wealth provides credit unions with access to a comprehensive range of high-quality, innovative investing and wealth…

  3+ ansAviso Wealth needs 3 to 5 years of compliance supervision experience in financial services, with knowledge of securities rules and the ability to be licensed with CIRO. A finance or securities university degree and Canadian Securities Course completion are preferred, along with fluent English.

  Microsoft Outlook, Microsoft Excel, Microsoft Word, Dataphile