Compliance Officer Jobs in Vaughan

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

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