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Compliance Officer Jobs

Chief Compliance Officer Jobs
By Crowda At Markham, Ontario, Canada
Compliance Management and Regulatory Compliance skills
Finance skills and understanding of financial regulations
Strong analytical skills and attention to detail
Excellent communication skills and ability to work effectively with cross-functional teams
Experience in developing and implementing compliance programs
Professional certification in compliance or related field is a plus
Compliance Officer Jobs
By Manulife At Ontario, Canada
Outstanding planning, organizational and time management skills.
The dealer and its employees/agents follow securities regulatory requirements and internal policies and procedures;
Strong written and verbal business communication skills.
Proficient knowledge of Microsoft applications (including Word, Excel and Power Point) and familiarity with the internet and related applications as tools.
Well-developed inter-personal skills to provide a high-level o of service and maintain working relationships with assigned groups and team members.
A competitive salary and benefits packages.
Data Security & Compliance Officer
By Manulife At Toronto, Ontario, Canada
Good interpersonal, leadership and relationship-building skills to deal with senior levels of management, service providers and local and remote business partners
10+ years of experience working in information security controls, information technology audit, or security risk management.
Deep technical knowledge with Cloud Computing Environments, Cloud technology management and procedures, supporting application systems and base infrastructure platforms
Establish and lead all aspects of department procedures, documentation, and training to align with records management policies
Establish and develop GDT's compliance & risk management practices
Collaborate on Global G&C and 2nd line Risk Management partners on key initiatives
Governance, Risk & Compliance Officer
By LeverageTek IT Solutions At Ottawa, Ontario, Canada
6+ years experience in the development, implementation and monitoring of cyber security protocols, policies, and procedures
Experience in the development and maintenance of a comprehensive risk register
Experience in creating and updating technical documentation
Client focus, organizational knowledge, communication, innovation, teamwork and leadership
Certified Information System Security Professional (CISSP) certification, Certified Information Systems Auditor (CISA), or equivalent certification, an asset
Hybrid preferred (Ottawa) but remote is possible.
Compliance Officer Jobs
By Thames Centre (Municipality of) At Dorchester, Ontario, Canada
Exceptional interpersonal, time management, customer service and communication skills.
Thorough organizational and time management skills
Promotes compliance with municipal by-laws through public education.
Three (3) years of work-related experience in by-law enforcement or policing.
Working knowledge of current court procedures for prosecutions
Excellent analytical and decision-making skills.
Economic Crime Supervision (Ecs) - Compliance Officer
By HM Revenue & Customs At Stratford, Ontario, Canada
Manage a caseload of anti money laundering (AML) registered businesses to deliver business targets/Key Performance Indicators.
Can write to evidential standard and possess a strong written and verbal skill set.
Good judgement, problem-solving & decision-making skills.
Can demonstrate sound interpersonal, communication and relationship-building skills and thrive working as part of a team as well as working autonomously.
Undertake interventions to AML registered businesses primarily through face-to-face but also occasionally through desk-based interventions depending on the identified risks.
Closing cases in a timely manner ensuring consideration of appropriate outcomes supported by robust evidential conclusions.
Junior Compliance Officer Jobs
By Glencore At Montreal, Quebec, Canada
1-3 years of experience working in a compliance role;
Has good written and verbal communication skills;
A comprehensive and competitive benefits plan
In detail, the position encompasses duties and responsibilities as follows:
Supporting the Regional Compliance Team in the identification, assessment, and evaluation of compliance risks at entities throughout the region; and
Identifying and implementing appropriate planned controls to remediate gaps identified during the Risk Assessment.
Chief Compliance Officer Jobs
By Optimize Wealth Management At Toronto, Ontario, Canada
•Previously registered as CCO for an Investment Fund Manager, Exempt Market Dealer, and Portfolio Manager.
University degree in a related field of finance or economics,
•Team player with strong written and verbal communication skill.
•Supervision of registered individuals including oversight of registration and jurisdiction categories.
Focusing on the client's best interests
•Timely submission of accurate regulatory reporting and coordinating registrations.
Bilingual Compliance Officer Jobs
By Aviso Wealth At Toronto, Ontario, Canada
Conduct onsite and/or remote examinations of IIROC and MFDA
Prepare pre-visit audit materials and schedule and plan examinations in accordance with regulatory requirements and dealer policies and procedures
University Degree related to finance and securities preferred
2+ years of compliance experience within the financial services industry
Sound knowledge of the rules and regulations governing the securities industry
Excellent analytical and investigative skills with strong attention to detail
Branch Administrator And Compliance Officer
By BMO At Kelowna, British Columbia, Canada
Identifies and escalates all irregularities and discrepancies to management and compliance as per guidelines.
Protects the Bank's assets and complies with all regulatory, legal and ethical requirements.
Broader work or accountabilities may be assigned as needed.
Typically between 3 - 5 years of relevant experience and post-secondary degree in the Financial Industry
Branch Compliance Officer (BCO) certification - must be completed or in progress (must be completed within 6 months).
Verbal & written communication skills - Excellent
Chief Compliance Officer Jobs
By PayPenny At Alberta, Canada
Stay up to date with changes in regulations and industry trends, providing guidance and recommendations to senior management.
The applicant must have gained 12 months of relevant securities industry experience in the 35-month period before applying for this role.
Monitor and ensure compliance with regulatory requirements, including data protection, privacy laws, anti-money laundering (AML), and Know Your Customer (KYC) regulations.
Minimum of 2 years of experience in a similar role as a CCO or in a senior compliance leadership position.
Relevant courses or certifications in compliance, regulatory affairs, or a related field.
Excellent analytical and problem-solving skills with the ability to assess and address complex compliance issues.
Chief Compliance Officer Jobs
By MoneyWay Financial Group At North Vancouver, British Columbia, Canada
Collaborate with senior management to review compliance policies.
Outstanding communication and interpersonal skills, fluency in English.
Analytical mindset with excellent organizational abilities.
Develop and implement company policies and regulations to ensure compliance.
Oversees all compliance-related aspects of the business, including policies, procedures, and banking relationship.
Design and monitor control systems to address violations of legal rules and internal policies.
Compliance Officer Jobs
By Aviso Wealth At Toronto, Ontario, Canada
Conduct onsite and/or remote examinations of IIROC and MFDA
Prepare pre-visit audit materials and schedule and plan examinations in accordance with regulatory requirements and dealer policies and procedures
University Degree related to finance and securities preferred
2+ years of compliance experience within the financial services industry
Sound knowledge of the rules and regulations governing the securities industry
Excellent analytical and investigative skills with strong attention to detail
Compliance Officer Jobs
By Security Financial Services & Investment Corp. At Greater Toronto Area, Canada
Independent time management, communication and priority setting skills in order to meet deadlines
Updates job knowledge by participating in educational opportunities; reading professional publications.
Daily trading, KYC updates, client file updating, and general data entry processing
Process improvement, problem solving, decision making, reporting skills, communication processes, informing others, verbal communication, teamwork, dependability
Experience in a Financial Advisory firm
Strong organizational skills and willing to take initiative
Chief Compliance Officer, Cwb Wealth
By Canadian Western Bank At Calgary, Alberta, Canada
Lead trade supervision and monitoring of trading and portfolio management.
Partner with key collaborators to ensure effective employee experience, including an assessment of registration education and proficiencies.
Maintain a trusted environment where Wealth Management employees can report risk and compliance issues and concerns.
Act as a knowledge resource to client facing team to ensure products and services are delivered in compliant manner.
University degree in a related field of finance or economics.
Demonstrated understanding of fundamental securities and regulatory and industry knowledge.
Chief Compliance Officer, Cwb Wealth
By Canadian Western Bank At Edmonton, Alberta, Canada
Lead trade supervision and monitoring of trading and portfolio management.
Partner with key collaborators to ensure effective employee experience, including an assessment of registration education and proficiencies.
Maintain a trusted environment where Wealth Management employees can report risk and compliance issues and concerns.
Act as a knowledge resource to client facing team to ensure products and services are delivered in compliant manner.
University degree in a related field of finance or economics.
Demonstrated understanding of fundamental securities and regulatory and industry knowledge.
Chief Compliance Officer, Cwb Wealth
By Canadian Western Bank At Vancouver, British Columbia, Canada
Lead trade supervision and monitoring of trading and portfolio management.
Partner with key collaborators to ensure effective employee experience, including an assessment of registration education and proficiencies.
Maintain a trusted environment where Wealth Management employees can report risk and compliance issues and concerns.
Act as a knowledge resource to client facing team to ensure products and services are delivered in compliant manner.
University degree in a related field of finance or economics.
Demonstrated understanding of fundamental securities and regulatory and industry knowledge.
Chief Compliance Officer, Cwb Wealth
By Canadian Western Bank At Toronto, Ontario, Canada
Lead trade supervision and monitoring of trading and portfolio management.
Partner with key collaborators to ensure effective employee experience, including an assessment of registration education and proficiencies.
Maintain a trusted environment where Wealth Management employees can report risk and compliance issues and concerns.
Act as a knowledge resource to client facing team to ensure products and services are delivered in compliant manner.
University degree in a related field of finance or economics.
Demonstrated understanding of fundamental securities and regulatory and industry knowledge.
Senior Payments Compliance Officer
By Apus Technology Inc. At Toronto, Ontario, Canada
5+ years regulatory/compliance experience in a heavily regulated financial services industry / regulator/government department, involving internal/external audit and risk management
Deep knowledge and understanding of Compliance/AML/CTF methodologies and programs as well as regulatory risk management,
Manage day-to-day AML/CTF-related operations, procedures, manuals and AML/CTF team.
Extending guidance and support to sales and operations to help them meet regulatory requirements and following internal policies and procedures.
Deep knowledge of federal and provincial legislation in relation to cross-border payments and remittance, credit/prepaid cards, consumer lending, consumer protection, etc.
Experience dealing with regulators such as FINTRAC, Bank of Canada, etc.
Environmental Compliance Officer Jobs
By ONxpress Transportation Partners At Toronto, Ontario, Canada
Identifies and reports environmental issues and concerns to the Environmental Manager and recommends appropriate corrective actions
A minimum of five years of experience conducting environmental inspections, monitoring and compliance;
Experience with similar projects in Ontario
Experience in environmental monitoring, oversight, and/or reporting
Knowledge of Ontario’s Transit Project Assessment Process, GO Transit Class EA Document, and Environmental Assessment Act (Ontario);
Knowledge of relevant federal and Ontario environmental policies, procedures and legislation;

Are you looking for an exciting opportunity to help ensure compliance with laws and regulations? We are looking for a Compliance Officer to join our team and help us protect our organization from legal and financial risks. You will be responsible for monitoring and enforcing compliance with applicable laws and regulations, as well as developing and implementing policies and procedures to ensure compliance. If you are a detail-oriented professional with excellent communication and problem-solving skills, this could be the perfect job for you!

A Compliance Officer is responsible for ensuring that a company or organization complies with all applicable laws and regulations. They are responsible for developing and implementing policies and procedures to ensure compliance, monitoring activities to ensure compliance, and providing guidance and advice on compliance issues.

What is Compliance Officer Skills Required?

• Knowledge of applicable laws and regulations
• Analytical and problem-solving skills
• Attention to detail
• Excellent communication and interpersonal skills
• Ability to work independently and as part of a team
• Ability to manage multiple tasks and prioritize

What is Compliance Officer Qualifications?

• Bachelor’s degree in business, finance, law, or a related field
• Relevant certifications or licenses, such as Certified Regulatory Compliance Manager (CRCM)
• Relevant experience in compliance, risk management, or a related field

What is Compliance Officer Knowledge?

• Knowledge of applicable laws and regulations
• Knowledge of risk management principles
• Knowledge of corporate governance principles
• Knowledge of financial and accounting principles

What is Compliance Officer Experience?

• Relevant experience in compliance, risk management, or a related field
• Experience in developing and implementing policies and procedures
• Experience in monitoring activities to ensure compliance

What is Compliance Officer Responsibilities?

• Develop and implement policies and procedures to ensure