Job Type
Date Posted
Salary Range
Distance

Compliance Officer Jobs in Toronto, ON

160 Jobs

  • 3.6
    CI Financial – Toronto
    9 days ago 9d
    OVERVIEW We are currently seeking a ComplianceOfficer, Surveillance to join our Compliance team. In this role, the successful… planning, insurance and estate planning. POSITION: ComplianceOfficer, Surveillance LOCATION: Toronto (M5J 0A3) STATUS:…
  • 3.6
    Manulife – Toronto
    HOT
    the Manager Investment Compliance, the ComplianceOfficer is responsible for responding to compliance inquiries from the business… assigned by the Manager and Chief ComplianceOfficer. Cross-train and provide back-up to other Compliance Officers as required.…
  • 3.7
    MFDA (Mutual Fund Dealers Association) – Toronto
    EASY APPLY
    NEW
    promoting investor confidence. ComplianceOfficer (Toronto Office) As a ComplianceOfficer, you will be responsible for… determine compliance with MFDA requirements. Education/ Experience: 2-3 years in a compliance, regulatory or…
  • 3.4
    Scotiabank – Toronto
    18 days ago 18d
    monitoring as directed by the Senior Manager of Compliance or the Chief ComplianceOfficer. Report any suspect activity if there is… customers become better off. Purpose of Job The SSI ComplianceOfficer, through reviews of exception and other trading activity…
  • 3.6
    CI Financial – Toronto
    11 days ago 11d
    is expected to assist the Chief ComplianceOfficer in the oversight of the regulatory Compliance program for the Investment Fund… JOB OVERVIEW We are currently seeking a Compliance Manager to join our Compliance team. In this role, the successful candidate…
  • 3.7
    iA Financial Group – Toronto
    7 days ago 7d
    requests made by the Compliance Department Providing support to branch managers in areas related to compliance Preparing reports… Description Under the responsibility of the Director of Compliance - Retail, the incumbent must be a licensed IIROC supervisor…
  • 3.3
    OLG – Toronto
    4 days ago 4d
    ComplianceOfficer, Regulatory Advisory Office (Corporate Compliance) Location: Toronto, Ontario, Canada OLG Site or Facility… prime asset – our people. ComplianceOfficer, Regulatory Advisory Office (Corporate Compliance) Position Summary The Regulatory…
  • 3.0
    Harris Bankcorp – Toronto
    NEW
    The Compliance Management Professional, LCCG assists the Compliance management in the effective implementation, maintenance and… activities to ensure that the Compliance Program remains current and is aligned with the Enterprise-wide Compliance Program. The role works…
  • 3.1
    Mylan Inc. – Etobicoke
    NEW
    , in close collaboration with the North America Chief ComplianceOfficer and responsible business and function leaders (e.g. Legal… activities of the Mylan compliance program. Implement various global initiatives of Mylan’s Office of Global Compliance program. Counsel…
  • Coinsquare – Toronto
    4 days ago 4d
    ensuring regulatory compliance and fostering a culture of Information Security Develop and implement Compliance Team initiatives… 10,500% and were still growing! A sustainable and actionable compliance and information security strategy is imperative to the success…
  • 3.6
    Equitable Bank – Toronto
    HOT
    Job Title: ComplianceOfficer – AML Analyst Department: Compliance Reports To: Manager, AML Purpose of Job The AML… and monitoring of effective controls. The ComplianceOfficer – AML Analyst’s role is a multi-faceted one as responsibilities include…
  • 3.6
    BMO Financial Group – Toronto
    NEW
    The Compliance Management Professional, LCCG assists the Compliance management in the effective implementation, maintenance and… activities to ensure that the Compliance Program remains current and is aligned with the Enterprise-wide Compliance Program. The role works…
  • 3.4
    Scotiabank – Toronto
    NEW
    . Reviews and investigates compliance issues as they arise and escalates findings from compliance testing to relevant Testing… Purpose: Contributes to the overall success of the GBM Compliance Canada Testing team by ensuring specific individual goals,…
  • 3.6
    BMO Financial Group – Toronto
    8 days ago 8d
    systemic issues and make recommendations to the Director, Compliance and Audit · Monitors completion of corrective action plans… committees, working groups and forums where GITRM’s audit and compliance programs require representation · Performs special projects…
  • 3.6
    BMO Financial Group – Toronto
    8 days ago 8d
    The Compliance Management Professional, LCCG assists the Capital Markets Compliance management in the effective implementation… activities to ensure that the Compliance Program remains current and is aligned with the Enterprise-wide Compliance Program. The role works…
  • 3.8
    Edward Jones – Mississauga
    15 days ago 15d
    ComplianceOfficer/Senior ComplianceOfficer Responsible for ensuring compliance with laws and regulations of the various… ensure future compliance by associates across the firm (Financial Advisors, traders). The Senior ComplianceOfficer may have overall…
  • 3.7
    iA Financial Group – Toronto
    10 days ago 10d
    requests made by the Compliance Department Providing support to branch managers in areas related to compliance Preparing reports… Description Under the responsibility of the Director of Compliance - Retail, the incumbent must be a licensed IIROC supervisor…
  • 3.4
    Aon – Toronto
    NEW
    Your impact as a Senior ComplianceOfficer Job Responsibilities: Execution of compliance reviews, testing, special projects… Description Aon is looking for a Senior Bi-Lingual ComplianceOfficer As part of an industry-leading team, you will help…
  • 3.0
    Harris Bankcorp – Toronto
    11 days ago 11d
    The Compliance Management Professional, LCCG assists the Capital Markets Compliance management in the effective implementation… activities to ensure that the Compliance Program remains current and is aligned with the Enterprise-wide Compliance Program. The role works…
  • 3.0
    BMO Harris Bank – Toronto
    12 days ago 12d
    GITRM Audit and Compliance Director, the Audit and ComplianceOfficer provides support to the Audit & Compliance function within… ensures compliance with Information Security and IT Risk Management related requirements. The Audit & ComplianceOfficer is accountable…
  • 3.6
    Citi – Toronto
    18 days ago 18d
    instances of regulatory non-compliance, ensuring timely escalation to the Country Chief ComplianceOfficer, Regional ICRM, and Business… reports and deliverables to the Citi Canada Chief Country ComplianceOfficer and Regional Senior Management Cards ICRM. • Periodically…
  • 3.0
    B2B Bank – Toronto
    9 days ago 9d
    assist the Chief ComplianceOfficer of 3 carrying dealers with the oversight and administration of the Dealer Compliance program in… requirements. Develop/enhance compliance programs to conduct operational audit and compliance testing of the carrying dealers…
  • 3.0
    Harris Bankcorp – Toronto
    12 days ago 12d
    GITRM Audit and Compliance Director, the Audit and ComplianceOfficer provides support to the Audit & Compliance function within… ensures compliance with Information Security and IT Risk Management related requirements. The Audit & ComplianceOfficer is accountable…
  • 2.6
    PC Financial – Toronto
    10 days ago 10d
    of Regulatory Compliance, the Business Complianceofficer will aid with the support of building a robust compliance infrastructure… Aggregating Business Compliance incidents and reporting to the monthly Business ComplianceOfficer meetings Assisting and development…
  • 3.4
    Scotiabank – Toronto
    9 days ago 9d
    of the Senior ComplianceOfficer, branch managers/BCOs and MFRs. Act as an educational resource on compliance matters and apprise… ongoing compliance. Document and assist SSI HO Compliance with the development and implementation of local compliance procedures…
  • 2.8
    Canaccord Genuity Group – Toronto
    25 days ago 25d
    Institutional ComplianceOfficer, Compliance – Toronto – Job # 5163 Summary Through its principal subsidiaries, Canaccord… their Institutional Compliance department and is currently looking for a junior to intermediate ComplianceOfficer to join their team…
  • 3.0
    BMO Harris Bank – Toronto
    11 days ago 11d
    The Compliance Management Professional, LCCG assists the Capital Markets Compliance management in the effective implementation… activities to ensure that the Compliance Program remains current and is aligned with the Enterprise-wide Compliance Program. The role works…
  • 3.3
    Neuberger Berman – Toronto
    17 days ago 17d
    Role & Responsibilities: Chief ComplianceOfficer for Toronto-based quantitative investment management division of a New York-based… report to Head of Compliance in NY. Requirements: Minimum 8 years of investment advisory compliance experience Expert…
  • 2.9
    CitiMortgage – Toronto
    10 days ago 10d
    instances of regulatory non-compliance, ensuring timely escalation to the Country Chief ComplianceOfficer, Regional ICRM, and Business… reports and deliverables to the Citi Canada Chief Country ComplianceOfficer and Regional Senior Management Cards ICRM. Periodically…
  • 3.7
    Vision Critical – Toronto
    HOT
    position reports to the Senior Director of Security, Privacy & Compliance. Your responsibilities will include: Engage with… general operations and activities of the security, privacy and compliance team. In addition to domain knowledge and soft skills…
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