Compliance Officer Jobs in Newmarket
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CI Financial - Toronto, Ontario, Canada
-Compliance officers will also be delegated additional core tasks such as email surveillance, reviewing and maintaining pro-accounts, sales/advertising approvals, and other tasks as warranted, which may...
from: appcast.io - 3 days ago
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...
from: appcast.io - 17 days ago
BMO Financial Group - Toronto, Ontario
Elevates high profile issues/risk cases to Compliance and business/group management for prompt resolution.Analyzes and reports compliance information to Compliance and business/group management.Advises...
from: jobillico.com - 14 days ago
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Moneycorp - Toronto, Ontario, Canada
Maintain Politically Exposed Person Register with up-to-date information and review these relationships on a periodic basis Liaise with internal and external customers to clarify company ownership Store...
from: appcast.io - 10 days ago
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...
from: appcast.io - 28 days ago
BMO Financial Group - Toronto, Ontario
Elevates high profile issues/risk cases to Compliance and business/group management for prompt resolution.Analyzes and reports compliance information to Compliance and business/group management.Advises...
from: jobillico.com - 14 days ago
BMO - Toronto, ON, CA
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...
from: onjobcentre.ca (+1 source) - 20 days ago
BMO - Toronto, ON, CA
Salaries will vary based on factors such as location, skills, experience, education, and qualifications for the role, and may include a commission structure. Salaries for part-time roles will be pro-rated...
from: onjobcentre.ca - 15 days ago
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...
from: jobillico.com - 23 days ago
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...
from: jobillico.com - 23 days ago