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Compliance officer Jobs in Toronto, ON

Last updated: 1 day ago
  • Promoted
Chief Compliance Officer

Chief Compliance Officer

Peakhill CapitalToronto, ON, Canada
Peakhill Capital is a commercial real estate capital provider with mortgage investments across all real estate asset classes in Canada. Our equity platform, Peakhill Equity Partners, is an opportuni...Show moreLast updated: 17 days ago
Compliance Officer

Compliance Officer

Alterna SavingsToronto, ON, CA
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Full-time
The Compliance Officer role will support the Regulatory Compliance Management framework.They are considered a subject matter expert on the regulatory controls. The key activities include analyzing a...Show moreLast updated: 30+ days ago
Senior Compliance Officer

Senior Compliance Officer

BMOToronto, ON
CA$74,800.00–CA$138,600.00 yearly
Part-time
Become a part of our Legal, Regulatory Compliance and Procurement group, a central governance unit within Wealth Management Compliance team that plays a pivotal role in ensuring our wealth manageme...Show moreLast updated: 30+ days ago
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Compliance Officer, Governance & Strategy - Global Compliance Trade Surveillance

Compliance Officer, Governance & Strategy - Global Compliance Trade Surveillance

ScotiabankToronto, ON, Canada
Full-time
Title : Compliance Officer, Governance & Strategy - Global Compliance Trade Surveillance.Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.The obj...Show moreLast updated: 1 day ago
Financial Compliance Officer

Financial Compliance Officer

Marberg Staffing Ltd.Toronto, Ontario
Temporary
Quick Apply
Start Date : ​Initial term of February 17 to May 17, 2025, with possibility of further extension.Regular Work Hours : FULL TIME WORK HOURS – 7 work hours per day, not including 60-minute unpaid lunch...Show moreLast updated: 13 days ago
Compliance Analyst / Officer

Compliance Analyst / Officer

CB CanadaToronto, Ontario, Canada
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On behalf of our client in the Banking Sector, PROCOM is looking for a Compliance Analyst / Officer.Compliance Analyst / Officer – Job Description. The Global Compliance Department is responsible for ov...Show moreLast updated: 30+ days ago
Compliance Testing Officer

Compliance Testing Officer

Royal Bank of Canada>TORONTO, Canada
CA$50,000.00–CA$85,000.00 yearly
The Compliance Testing Officer executes independent compliance testing for the U.Compliance Testing Program, a critical program element of the U. Regulatory Compliance Management framework for RBC’s...Show moreLast updated: 26 days ago
Field Compliance Officer North America

Field Compliance Officer North America

SAPToronto, ON, CA
CA$39.00 hourly
At SAP, we enable you to bring out your best.Our company culture is focused on collaboration and a shared passion to help the world run better. How? We focus every day on building the foundation for...Show moreLast updated: 30+ days ago
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Compliance Officer

Compliance Officer

CI FinancialToronto, ON, Canada
At CI, we see a great place to work as one that is a safe place for everyone to have a voice, where people are empowered to take ownership over meaningful work, where there is an opportunity to gro...Show moreLast updated: 10 days ago
Chief Compliance Officer

Chief Compliance Officer

The Counsel NetworkToronto, ON, CA
CA$31.00 hourly
Caldwell has been exclusively retained by a leading global financial institution to recruit a Chief Compliance Officer for their Canadian operations based in Toronto. Reporting functionally to the C...Show moreLast updated: 30+ days ago
Compliance Officer

Compliance Officer

AlternaToronto, ON
serp_jobs.job_card.currency_salary_dayly
Full-time
The Compliance Officer role will support the Regulatory Compliance Management framework.They are considered a subject matter expert on the regulatory controls. The key activities include analyzing a...Show moreLast updated: 30+ days ago
  • Promoted
Chief Compliance Officer (Canada)

Chief Compliance Officer (Canada)

AlpacaToronto, ON, Canada
Full-time
We are seeking an experienced and highly skilled Chief Compliance Officer (CCO) to play a foundational role in the creation and registration of a new CIRO Dealer Member acting as a registered intro...Show moreLast updated: 4 days ago
Senior Compliance Officer SWAP Dealer

Senior Compliance Officer SWAP Dealer

CIBCToronto, ON
CA$27.00 hourly
Full-time
Nous bâtissons une banque axée sur les relations pour un monde moderne.Nous recrutons des professionnels talentueux et passionnés qui ont à cœur de faire ce qu’il faut pour nos clients.À la Banque ...Show moreLast updated: 30+ days ago
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Legal & Compliance Officer (Canada)

Legal & Compliance Officer (Canada)

UnionPay InternationalToronto, ON, Canada
Full-time
UnionPay is looking for an experienced and motivated card scheme / payment compliance professional to support UnionPay Canada’s compliance work. This position is a regional role located in Toronto and...Show moreLast updated: 23 days ago
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Vice President and Chief Compliance Officer

Vice President and Chief Compliance Officer

HomeEquity BankToronto, ON, Canada
Full-time
Vice President and Chief Compliance Officer.HomeEquity Bank is a Schedule 1 Canadian chartered bank and the leading national provider of reverse mortgages, with a growing portfolio.As the only bank...Show moreLast updated: 3 days ago
  • Promoted
Chief Compliance Officer, Marsh and Mercer Canada

Chief Compliance Officer, Marsh and Mercer Canada

Marsh & McLennan CompaniesToronto, ON, Canada
Full-time
We are seeking a talented individual to join our Legal, Compliance & Public Affairs team at Marsh McLennan.This role can be based in Toronto or Montreal and is a hybrid role that has a requirement ...Show moreLast updated: 1 day ago
  • Promoted
Chief Compliance Officer

Chief Compliance Officer

OTT Financial GroupOld Toronto, ON, Canada
Full-time
With a strategic focus on both acquiring and issuing business, we are developing a mobile-first platform that offers a wide range of financial services, loyalty programs, and innovative products, i...Show moreLast updated: 1 day ago
Compliance Officer, Wealth

Compliance Officer, Wealth

CWB Financial GroupToronto, ON
CA$31.00 hourly
Full-time
At , we strive to build value for the people who choose us every day : our people, our clients and our investors.Putting people first and building relationships with intention.Seeking out and embrac...Show moreLast updated: 30+ days ago
Bilingual Payroll Compliance Officer

Bilingual Payroll Compliance Officer

StafflinkToronto, ON
serp_jobs.job_card.currency_salary_dayly
Full-time
The Senior Payroll Compliance Advisor's primary role is to offer expertise, support, guidance, and training on Canadian payroll legislation to both members and non-members.This position aligns with...Show moreLast updated: 30+ days ago
  • Promoted
U.S. Chief Compliance Officer

U.S. Chief Compliance Officer

AGFToronto, ON, Canada
Full-time
Founded in 1957, AGF Management Limited (AGF) is an independent and globally diverse asset management firm.Our companies deliver excellence in investing in the public and private markets through th...Show moreLast updated: 1 day ago
Chief Compliance Officer

Chief Compliance Officer

Peakhill CapitalToronto, ON, Canada
17 days ago
Job description

Peakhill Capital is a commercial real estate capital provider with mortgage investments across all real estate asset classes in Canada. Our equity platform, Peakhill Equity Partners, is an opportunistic equity platform focused on investments in ground up and value-add projects in Canada and the United States.

We are seeking a self-motivated, entrepreneurial and dynamic General Counsel / Chief Compliance Officer to join our executive team. This is a new, dual role. The GC / CCO will be responsible for overseeing and managing the compliance functions of the firm, ensuring adherence to regulatory requirements, and maintaining the highest standards of ethical conduct.

  • Lead the design, implementation, and monitoring of the Company’s compliance program to ensure compliance with all North American legal and regulatory, requirements Conduct regular compliance audits and risk assessments to identify and mitigate potential issues.
  • Review and approve investors’ KYC forms, Subscription Agreements, AML and suitability documents, and ensure reporting to demonstrate compliance is produceable.
  • Supervise registered individuals, leading all aspects of registration and jurisdiction categories.
  • Monitor registered individuals for KYC, KYP, and suitability compliance with clients.
  • Preparation and filing of applicable regulatory forms and filings for the firm and its products.
  • Participate in product reviews, monitor KYP obligations, and provide training.
  • Assist in implementing and enhancing enterprise risk management frameworks, compliance risk management framework and operational risk management framework
  • Oversee training needs and helps develop training for employees based on gaps identified through the compliance monitoring and testing.
  • Provides advice and guidance to assigned business / group on implementation of solutions aligned to regulatory risk appetite based on an understanding of business operations and stakeholder needs.
  • Consults on new products, services and automated systems to assist with incorporating compliance requirements into these initiatives.
  • Builds effective professional relationships with business group, internal / external stakeholders and trust with regulators.
  • Oversee the Company’s application and transition to becoming a registered Investment Fund Manager (IFM) and Portfolio Manager (PM).
  • Assist with Corporate, Fund-level and deal-level work.

Qualifications

  • Minimum of 5 years of experience in a compliance role within the financial services industry, preferably investment management industry, with at least 2 years in a senior compliance position
  • Strong knowledge of North American securities industry’s regulatory compliance practices, procedures and principles applicable to securities legislation and regulation
  • Bachelor’s degree in Law, Finance, Business Administration, or a related field;
  • Recognized compliance certificate or equivalent preferred.
  • In-depth knowledge of Canadian securities laws, Detailed knowledge of consumer protection regulations and related marketing and advertising guidelines.
  • Proven track record of developing and implementing effective compliance programs
  • Strong analytical, problem-solving, and decision-making skills
  • Excellent communication and interpersonal skills
  • Ability to work independently and as part of a team
  • High level of integrity and ethical standards
  • What’s in it for you?

    Peakhill Capital is comprised of a team of dedicated and entrepreneurial individuals. We are committed to creating a work culture that thrives on unity – from company outings to innovative team-building challenges, we believe it is important to create opportunities for the team to work together. Peakhill is committed to ensuring values the well-being of all employees through the following means :

  • Medical Benefits
  • Dental Coverage
  • Therapy / Counselling
  • Health and Wellness Spending Account
  • RRSP Employee Matching