Job Description
Compliance Officer
Requisition ID: 267649
Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.
Contribute to the overall success of the Canadian Wealth Distribution Compliance team, ensuring specific individual goals, plans, initiatives are executed / delivered in support of the team’s business strategies and objectives. Ensure all activities conducted are in compliance with governing regulations, internal policies and procedures.
**Is this role right for you? In this role, you will:**
+ Contribute to a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge.
+ Conduct compliance oversight (surveillance duties) in accordance with applicable regulatory requirements including CIRO Rules (3100,3400, 3900) and internal policies and procedures to detect violations and potential violations.
+ Conduct effective follow-up on issues ...
Requisition ID: 267649
Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.
Contribute to the overall success of the Canadian Wealth Distribution Compliance team, ensuring specific individual goals, plans, initiatives are executed / delivered in support of the team’s business strategies and objectives. Ensure all activities conducted are in compliance with governing regulations, internal policies and procedures.
**Is this role right for you? In this role, you will:**
+ Contribute to a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge.
+ Conduct compliance oversight (surveillance duties) in accordance with applicable regulatory requirements including CIRO Rules (3100,3400, 3900) and internal policies and procedures to detect violations and potential violations.
+ Conduct effective follow-up on issues ...
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