Compliance Manager ensuring non - cash payment facility compliance with regulatory obligations in a leading property management platform. Collaborating with Finance, Product, and Operations for effective regulatory controls.
About the role
- Advisor Practice Compliance analyzing independent advisors' practices within financial distribution networks. Ensure compliance with organizational standards and regulatory requirements in a hybrid work environment.
Responsibilities
- Analyze business practices of advisors within various independent distribution networks
- Oversee daily operations in the mutual fund discipline as well as in securities
- Contribute to the design, implementation, and coordination of the compliance framework
- Monitor supervisory measures, particularly the behavior of independent advisors
- Analyze and help diagnose issues, provide advice in accordance with regulatory requirements
- Participate in the development of recommendations and implementation plans
- Develop tools, methods, and processes tailored to the needs of the organization
Requirements
- Bachelor’s degree in a relevant field
- A minimum of four years of relevant experience
- Experience in audit or supervision
- Completion of the Canadian Securities Course (CSC)
- Completion of the Conduct and Practices Handbook Course (CPH)
- Completion Investment Dealer Supervisors Course (IDSC)
- Completion (or commitment to quickly complete) the Derivatives Fundamentals and Options Licensing Course (DFOL)
- Knowledge of French is required
- Advanced intermediate proficiency in English
Benefits
- Competitive salary and annual bonus
- 4 weeks of flexible vacation starting in the first year
- Defined benefit pension plan that provides predictable, stable income throughout retirement
- Group insurance including telemedicine
- Reimbursement of health and wellness expenses and telework equipment
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
Location requirements
Head of Risk and Compliance managing regulatory compliance and risk frameworks for a fintech scale - up. Leading risk assessments and ensuring adherence to Luxembourg and EU regulations.
Director of Quality and Regulatory Affairs at PRC Saltillo ensuring quality and compliance with global regulatory standards. Leading quality initiatives and mentoring teams within the medical device industry.
Export Compliance Manager supervising compliance with international trade regulations and laws. Monitor export orders and maintain necessary documentation while ensuring adherence to TSA regulations.
Senior Manager, Compliance at Equinix managing compliance operations across multiple regions. Leading teams, overseeing audits, and ensuring adherence to compliance standards for digital infrastructure.
Compliance Audit Coordinator performing audits of patient records for substance abuse treatment programs in Greenville, SC. Ensuring compliance with clinical standards and responding to audit requests.
Compliance Manager ensuring adherence to regulations within Luxembourg - based investment firm. Responsible for KYC, AML compliance, and risk management tasks.
Regulatory Affairs Compliance Specialist at Benjamin Moore interpreting global regulations and ensuring compliance for paint products. Collaborating with teams for new product development and representing in industry groups.
Liderar innovación en envase y embalaje para todas unidades de Nestlé México. Centrando requerimientos en necesidades del consumidor y buscando ventaja competitiva.
Health and Safety Coordinator managing compliance and safety standards for water treatment solutions company. Responsible for inspections, audits, and training within a team - focused environment.