Compliance manager Jobs in Richmond Hill, ON

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Compliance manager • richmond hill on

Last updated: 1 day ago

Compliance Analyst

Questrade Financial Group5700 Yonge St, North York, ON M2M 4K2, Canada

CA$90,000.00–CA$95,000.00 yearly

Yonge St, North York, ON M2M 4K2, Canada Req #2900 Friday, August 16, 2024 Questrade Financial Group (QFG) of Companies is committed to helping our customers become much more financially successful...Show moreLast updated: 30+ days ago

Promoted

IT Compliance and Financial Management Lead

Randstad CanadaConcord, Ontario, CA

Temporary

Quick Apply

Join Our Team as IT Compliance & Financial Management Lead!.Under the guidance of the Americas IS Director, you'll spearhead IT governance, compliance, and financial management functions, ensur...Show moreLast updated: 24 days ago

Retail Compliance Associate

MCAVaughan, ON

CA$13.00–CA$18.25 hourly

MCA is looking for individuals to be Retail compliance Representatives located in Vaughan, ON and surrounding areas.This role helps ensure compliance with age verification requirements.Your role is...Show moreLast updated: 30+ days ago

regulatory compliance specialist

PrimeVest Canada Inc.Markham, ON, CA

CA$45.00 hourly

Full-time +1

Analyze and provide advice on the managerial methods and organization of an establishment.Develop quality management and quality assurance standards. Conduct research to determine efficiency and eff...Show moreLast updated: 30+ days ago

Director, Underwriting Excellence & Compliance

Wawanesa InsuranceNorth York - Toronto, ON (Hybr, CA

CA$140,000.00–CA$170,000.00 yearly

The Director, Underwriting Excellence & Compliance is a result driven, collaborative leader who contributes to Wawanesa’s success by directing, planning, and implementing national strategies and in...Show moreLast updated: 30+ days ago

Promoted

Trade Compliance Manager

UniUniOntario, Canada, Canada

Full-time

UniUni, a North American leader in last-mile logistics, delivers tens of millions of parcels annually in Canada, from Coast to Coast, and is rapidly expanding across the United States.Founded in 20...Show moreLast updated: 30+ days ago

Promoted

Compliance Manager (consumer finance / lending)

EXXEEDNorth York, ON, Canada

Full-time

Our financial services client seeking a Compliance Manager with in-depth experience with Canadian consumer finance regulations with a solid background in lending-specific compliance work in Canada....Show moreLast updated: 15 days ago

Sr. Compliance Analyst

hays-gcj-v4-pd-onlineNorth York

CA$55.00 hourly

Our client, a leading insurancepany, is looking to add a Srpliance Analyst to their team for a 6-month contract.This position will be based out of our office in Waterloo or North York (depends on c...Show moreLast updated: 30+ days ago

Promoted

SOX Compliance Manager, IT

BlackBerryWaterloo, Region of Waterloo, Canada

Full-time

Reporting to the Director SOX Compliance, the SOX Compliance Manager will be responsible for all aspects of Sarbanes-Oxley compliance for IT controls (IT General & Application Controls) including a...Show moreLast updated: 1 day ago

Promoted

Head of Legal And Compliance Canada

GALDERMAVaughan, York Region, Canada

Full-time

Galderma is the emerging pure-play dermatology category leader, present in approximately 90 countries.We deliver an innovative, science-based portfolio of premium flagship brands and services that ...Show moreLast updated: 1 day ago

Promoted

Cyber Security Digital : Risk Regulatory Compliance

Tata Consultancy ServicesMarkham, ON, Canada

Full-time

Tata Consultancy Services (TCS) is an equal opportunity employer, and embraces diversity in race, nationality, ethnicity, gender, age, physical ability, neurodiversity, and sexual orientation, to c...Show moreLast updated: 13 days ago

AML & Compliance Manager – Legal & Compliance Department

BANK OF CHINAMarkham

CA$58.00 hourly

The AML Compliance Manager reporting to the Bank’s CAMLO will assist in developing, implementing and administering all aspects of the Bank’s AML and compliance programs. Including the development an...Show moreLast updated: 30+ days ago

Promoted

Questrade | Director, Derivatives Compliance

BestForexBonus.comON, Canada

Full-time

Assist the Chief Compliance Officer in the oversight of Derivatives activities and in ensuring Questrade operates within the rules and regulations prescribed by the IIROC and other provincial and t...Show moreLast updated: 1 day ago

Environmental Compliance Officer

CanMar RecruitmentMarkham Central, Ontario, Canada

CA$34.13–CA$40.13 hourly

Healthcare, Health Tech, Government, Municipalities, Non-Profits, Legal, Public Accounting, Food and more.We are proactively building a data bank for opportunities in these fields.By applying, you ...Show moreLast updated: 30+ days ago

Manager Scientific and Regulatory Affairs Compliance and Innovation

Coca ColaOntario,ON,Canada

CA$108,000.00–CA$126,000.00 yearly

Full-time

Candidates must be currently located in Toronto, Ontario, Canada area.Relocation is not provided for this role.Candidates must be currently located in the Atlanta, Georgia, or Chicago, Illinois are...Show moreLast updated: 30+ days ago

Head of North American Compliance

LEO PharmaToronto, Ontario Less CMAs, Canada

CA$140,000.00–CA$170,000.00 yearly

Permanent

The Head of North American Compliance is a highly visable, strategic and hands-on role.The individual in this role will be responsible for the day-to-day oversight and operations of Compliance acti...Show moreLast updated: 30+ days ago

Technology & Risk Compliance Lead

BMO Financial GroupScarborough, ON

CA$86.00 hourly

BMO is an organization driven by a shared Purpose : Boldly Grow the Good in business and life.It calls on members of its team, to create lasting, positive change for its customers, its communities, ...Show moreLast updated: 30+ days ago

Manager or Senior Manager, Global Compliance (Corporate Tax)

BDOMarkham

CA$120,000.00–CA$150,000.00 yearly

Full-time

Putting people first, every day.BDO is a firm built on a foundation of positive relationships with our people and our clients. Each day, our professionals provide exceptional service, helping client...Show moreLast updated: 30+ days ago

Promoted

Compliance Officer I - CAD

Robert HalfUnionville, Ontario, Canada

We are offering a contract for a Compliance Officer I - CAD in the Healthcare / NHS industry based in Markham, Ontario.The role involves ensuring compliance within the organization, coordinating vari...Show moreLast updated: 30+ days ago

Chief Compliance Officer

019983 Hub Capital Inc.Woodbridge, ON

CA$39.00 hourly

Full-time

At HUB Capital, we pride ourselves on fostering an environment dedicated to professional growth and client-centric values. As part of the HUB International family, we specialize in offering tailored...Show moreLast updated: 30+ days ago

Compliance Analyst

Questrade Financial Group5700 Yonge St, North York, ON M2M 4K2, Canada

30+ days ago

Salary

CA$90,000.00–CA$95,000.00 yearly

Job description

Compliance Analyst

5700 Yonge St, North York, ON M2M 4K2, Canada Req #2900 Friday, August 16, 2024 Questrade Financial Group (QFG) of Companies is committed to helping our customers become much more financially successful and secure. We are everything a traditional financial institution is not. At QFG, you will be constantly moving forward, bringing the future of fintech into existence. You will be a part of a collaborative team that cares deeply about our mission and each other. Your team members will help you conquer challenges, push boundaries and discover what you are truly capable of. This is a place where you can explore, discover and learn with continuous growth. As a diverse and inclusive place to work, there are flexible working arrangements so you can unleash your creativity and curiosity with no limits. If you share the same sense of infinite possibility, come shape your future at Questrade.

What’s in it for you as an employee of QFG?

Health & wellbeing resources and programs
Paid vacation, personal, and sick days for work-life balance
Competitive compensation and benefits packages
Hybrid and flexible work arrangements
Career growth and development opportunities
Opportunities to contribute to community causes
Work with diverse team members in an inclusive and collaborative environment

We’re looking for our next Compliance Analyst. Could It Be You?

The purpose of the Analyst, Compliance (QWM) is to conduct surveillance on portfolio management and trading,suitability,and client related account activity.

The Analyst also supports various regulatory reporting processes and provides support handling compliance related requests as needed by the QWM compliance team.

What’s it like working as a Compliance Analyst at Questrade?

The Compliance Analyst will work closely with the Supervisor, Questrade Wealth Management, other compliance teams and business units to support the Questrade Wealth Management compliance program, which includes, reviews, monitoring, escalation and reporting in accordance with our documented policies and procedures.

Need more details? Keep reading…

In this role, responsibilities include but are not limited to :

Perform day-to-day compliance monitoring and testing associated with Questrade Wealth Management including : Suitability, Regulatory Reporting, Portfolio Management and Trading.

Become proficient in all Questrade Wealth Management Compliance policies and procedures.

Recommend improvements to internal controls and business processes.

Coordinate with all departments in identifying, developing and implementing quality improvements in response to business requirements and regulatory changes.

Monitor and assess compliance by Questrade Wealth Management, staff, and clients.

Perform other duties, as assigned, to assist in all areas of compliance at Questrade Wealth Management.

Expected to become familiar with OSC rules and all other related laws and regulations.

Adhere to Questrade Wealth Management’s compliance policies and procedures.

Learn to investigate cases and perform initial case analysis to support senior compliance staff.

Monitor and deploy employee training to capture all necessary requirements

Participation in special projects as needed.

Fulfill reporting obligations to various regulators.

Provide preliminary support and guidance to other departments on compliance matters, when needed.

So are YOU our next Compliance Analyst? You are if you…

Requirements and qualification of the Analyst, Compliance includes :

Post-secondary degree in a related field

High ethical standards and integrity

Natural curiosity and drive to learn

Analytical and problem solving skills

Organized and has great time management

Strong verbal and written communication skills

Assets :

Proficient in technology related programs (SQL, Microsoft Excel, Google Sheets / G-Suite tools, PowerBI)

CSC, CPH, CIM

Knowledge of various financial products (Exchange traded funds, mutual funds, & other products)

Sounds like you? Click below to apply!

L1-EP1

At Questrade Financial Group of Companies, with multiple office locations around the world, we are committed to fostering a diverse, inclusive and accessible work environment. This is an environment where individuals are treated with dignity and respect. Here, the unique skills and experience you bring will be valued. You will be supported and motivated, so that you can harness your unlimited potential. Our team reflects the diversity of the communities we serve and operate in. Having a collaborative and diverse team helps us push boundaries to bring the future of fintech into existence—not only for the benefit of our customers, but for those who build their career with us. Candidates selected for an interview will be contacted directly. If you require accommodation during the recruitment / selection process, please let us know and we will work with you to meet your needs.

Other details

Pay Type Salary

5700 Yonge St, North York, ON M2M 4K2, Canada

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