34 Compliance Officer Jobs in Vaughan
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Compliance Officer Larson Maddox - Toronto, Ontario, Canada Possess at least 5 years of senior compliance, business controls, operations, and regulatory experience within an investment fund manager, portfolio manager, or exempt market dealer entity regulated by... 3 days ago
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Compliance Officer Hamilton ETFs - Toronto, Ontario, Canada Oversee the implementation and monitoring of various compliance policies (i.e. Anti-Money Laundering and Proceeds of Crime , Social media, Cooperative Sales and Marketing, Protection of Personal Information... 5 days ago
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Senior Compliance Officer, Canadian Personal & Business Banking Compliance BMO Financial Group - Toronto, Ontario Any unsolicited resumes sent to BMO, directly or indirectly, will be considered BMO property. BMO will not pay a fee for any placement resulting from the receipt of an unsolicited resume. A recruiting... Today
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Senior Compliance Officer CI Financial - Toronto, Ontario, Canada Please submit your resume in confidence by clicking “Apply”. Only qualified candidates selected for an interview will be contacted. CI Financial Corp. and all of our affiliates (“CI”) are committed to... 17 days ago
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Legal Counsel and Senior Compliance Officer BMO Financial Group - Toronto, Ontario Exercises judgment to identify, diagnose, and solve problems within given rules; applies expertise and thinks creatively to address unique or ambiguous situations and to find solutions to problems that... 5 days ago
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FINANCE MANAGER (FULL-TIME) Prosper Canada - Toronto, Ontario, Canada The successful candidate will play a critical role in: maintaining an accurate and sustainable financial management system; identifying and helping to address financial management issues that could affect... 14 days ago
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Associate Compliance Officer, Trade Surveillance (1-year Contract) BMO Financial Group - Toronto, Ontario Analyse and report on compliance data; identify trends developing in trading of specific dealing representatives (RISRs) and/or client accounts with an emphasis on suitability, concentration, potential... 2 days ago
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Sales Communications Compliance Officer Manulife Financial Corporation - Toronto, Ontario Maintain accurate digital records of the regulatory supervision audit trail and archived data.Provide the Dealer’s Advisors with high quality, accurate and timely compliance direction, advice, and support... 9 days ago
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Senior Compliance Officer, Canadian Wealth Distribution Scotiabank - M5H1A1 Toronto, ON, CA Conduct compliance oversight (surveillance duties) in accordance with applicable regulatory requirements including Canadian Investment Regulatory Organization - CIRO Rules including Investment Dealer Partially... 12 days ago
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Sales Communications Compliance Officer Société Financière Manuvie - Toronto, Ontario Maintain accurate digital records of the regulatory supervision audit trail and archived data.Provide the Dealer’s Advisors with high quality, accurate and timely compliance direction, advice, and support... 9 days ago
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