Advise the Business Unit on all regulatory compliance matters. Intake and initial assessment of regulatory changes Work closely with WM Management on new business proposals. Develop and maintain policies and procedures to facilitate compliance with laws, regulations and rules. Conduct field training on compliance policies and procedures. Conduct ongoing compliance 2nd line oversight and testing and provide reporting to senior management. Develop and maintain Compliance Reporting Metrics At least 5 years relevant working experience in the financial services industry in Compliance or related fields or at a securities regulator with relevant Wealth Management experience Knowledge of CIRO and CSA Rules, Regulations and National Instruments Knowledge of Order Execution Only regulations and practices Experience dealing directly with advisors. Experience dealing with CIRO, OBSI and other regulatory agencies Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren't just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There's also ample opportunity to move about the business for those who show passion and grit in their work. We work to provide a supportive and inclusive environment where all individuals can maximize their full potential.
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