iiroc jobs in ontario

67 total jobs Page 1 of 4

Portfolio Manager

QUESTRADE INC - Toronto , ON

You have extensive understanding of IIROC and OSC regulations and how they impact operational processes and policies. So are YOU our next Portfolio Manager? read more

2 days ago

Investment Representative, ISI

CIBC - Toronto , ON

(CIBC ISI) policies and procedures and IIROC regulations. We’re building a relationship-oriented bank for the modern world. You put our clients first. read more

2 days ago

Financial Planner - Pickering

TD Bank - Pickering , ON

Licensed with IIROC as a Registered Representative OR if not currently licensed: Explain why you're a winning candidate. Carve out a career for yourself. read more

2 days ago

Compliance Officer, Surveillance

CI Investments Inc. - Toronto , ON

Conduct, monitor and document daily and monthly head office reviews of client account activity with a focus on criteria outlined in MFDA & IIROC Policies, anti… read more

2 days ago

IIROC Licensed Assistant (Recession-Proof Position)

Manulife Securities Incorporated - Oakville , ON

Active IIROC (CSC + CPH + 90 TP) (Required). The ideal candidate is an industry veteran with their IIROC licenses (active) who is looking to decrease their… read more

2 days ago

Licensed Assistant for IIROC Advisor (Recession Proof Position)

Manulife Securities - Oakville , ON

Work with an IIROC advisor: Hiring a licensed assistant to help an IIROC & Insurance Advisor. Looking for someone with experience in customer service and wealth… read more

2 days ago

Business Solutions Lead (JR1014333)

Broadridge - Toronto , ON

(BR), a $4 billion global Fintech leader and a part of the S&P 500® Index, is a leading provider of investor communications and technology-driven solutions to… read more

3 days ago

Portfolio Trading Associate

CI Investments Inc - Toronto , ON

(BBS) is registered in all Provinces and Territories of Canada as an Investment Dealer and is a member of Investment Industry Regulatory Organization of Canada … read more

7 days ago

Business Solution Specialist (JR1014343)

Broadridge - Toronto , ON

(BR), a $4 billion global Fintech leader and a part of the S&P 500® Index, is a leading provider of investor communications and technology-driven solutions to… read more

8 days ago

Community Wealth Advisor

Meridian Credit Union - Waterloo , ON

At minimum MFDA licensing is required however, IIROC licensing is preferred. The successful candidate may be required to complete the necessary coursework to… read more

7 days ago

Compliance Governance & Operations Analyst II

TD Bank - Toronto , ON

Familiarity with IIROC and applicable securities Commission rules. Explain why you're a winning candidate. Think "TD" if you crave meaningful work and embrace… read more

7 days ago

Vice-président adjoint, Conformité

Banque Laurentienne - Toronto , ON

La Banque Laurentienne du Canada est une institution bancaire dont les activités s'étendent à la grandeur du Canada. read more

9 days ago

Financial Planner- Downsview Hills

TD Bank - Thornhill , ON

Licensed with IIROC as a Registered Representative OR if not currently licensed: Explain why you're a winning candidate. Carve out a career for yourself. read more

11 days ago

Lead Advisor, Compliance

Laurentian Bank - Toronto , ON

º MFDA or IIROC compliance experience is required. The incumbent is responsible for developing, implementing and administering all aspects of the organization's… read more

9 days ago

Regional Sales Manager (Wholesaler)

Norrep Capital Management - Greater Toronto Area , ON

Based in the Greater Toronto Area (GTA) NCM Investments is seeking a Regional Sales Manager (wholesaler) to generate sales and develop new business focusing on… read more

12 days ago

Financial Planner- Toronto Core

TD Bank - Toronto , ON

Licensed with IIROC as a Registered Representative OR if not currently licensed: Explain why you're a winning candidate. Carve out a career for yourself. read more

10 days ago

Sr. Financial Advisor

CIBC - Toronto , ON

You have current accreditation and good standing for IIROC licensing requirements; We’re building a relationship-oriented bank for the modern world. read more

8 days ago

Backend Developer

OTT Financial Group - Toronto , ON

As an investment dealer and a member of IIROC and CIPF, OTT Financial Canada Inc.is a Canadian discount broker specializing in order-execution-only services for… read more

10 days ago

Product Director (Specialized Lending)

DUCA Financial Services Credit Union Ltd. - Kitchener , ON

Detailed knowledge of the Specialized Lending business ecosystem, including MGAs, insurance companies, MFDA & IIROC dealers and wealth advisory firms would be… read more

11 days ago

Financial Planner- Toronto East

TD Bank - Toronto , ON

Licensed with IIROC as a Registered Representative OR if not currently licensed: Explain why you're a winning candidate. Carve out a career for yourself. read more

14 days ago

Bilingual Trade Representative (Term: 12 months)

MD Management Ltd. - Ottawa , ON

Completion of the Canadian Securities Course (CSC) is an asset as is willingness to become an IIROC Registered Representative. You strive for 100% accuracy. read more

20 days ago

AML Compliance Officer

Raymond James Ltd. - Toronto , ON

Is seeking a qualified Anti-Money Laundering (AML) Compliance Officer to work in our Toronto office. Is Canada’s leading independent investment dealer offering… read more

14 days ago

Branch Examiner, Manulife Securities

Manulife - Oakville , ON

Minimum five years of experience with an IIROC member firm in a compliance or similar role; Excellent knowledge and understanding of the Dealer’s compliance… read more

22 days ago

Canada Compliance Manager

Macquarie Group Limited - Toronto , ON

Having a solid understanding of MX and IIROC Dealer Member rules (including Rule 2700 and 3400) and rules and regulation regarding restrictions on distributions… read more

24 days ago

Manager II, Governance and Control (Securities)

TD Bank - Toronto , ON

Experience with and knowledge and understanding of OSC and IIROC regulatory related projects. Explain why you're a winning candidate. read more

23 days ago
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