investment industry regulatory organization of canada jobs in Canada

33 total jobs Page 1 of 2

Branch Examiner

Aviso Wealth - Toronto , ON

Reporting to the Director, ERM, Complaints and Audit the Branch Examiner will be registered as a supervisor with the Mutual Fund Dealers Association (MFDA) or… read more

2 days ago

Senior Manager, Regulatory Policy

HSBC - Vancouver , BC

Office of the Superintendent of Financial Institutions, Canadian Deposit Insurance Corporation, Investment Industry Regulatory Organization of Canada, Mutual… read more

4 days ago

Financial Planning Consultant

CIBC - Mississauga , ON

Successful completion of Investment Industry Regulatory Organization of Canada (IIROC) is required. Investment Industry Regulatory Organization of Canada (IIROC… read more

4 days ago

Financial Operations Associate

Aligned Capital Partners Inc. - Burlington , ON

We highly recommend that individuals who have had a registration with the Investment Industry Regulatory Organization of Canada (IIROC) apply and highlight that… read more

4 days ago

Client Service Manager

Aligned Capital Partners Inc. - Burlington , ON

We highly recommend that individuals who have had a registration with the Investment Industry Regulatory Organization of Canada (IIROC) apply and highlight that… read more

4 days ago

Senior Clearing and Settlements Specialist

Société Générale - Montréal , QC

Société Générale Capital Canada operates as an investment dealer regulated by the Investment Industry Regulatory Organization of Canada (IIROC) in the execution… read more

6 days ago

Administrative Associate, Private Investment Advice

TD Bank - Richmond , BC

Licensed with Investment Industry Regulatory Organization of Canada (IIROC) as an Investment Representative or Registered Representative. read more

11 days ago

Compliance Officer (Contract until July 31 2020)

Scotiabank - Toronto , ON

An understanding of the Investment Industry Regulatory Organization of Canada (IIROC) rules and FINRA rules is an asset as is an understanding of Canadian… read more

11 days ago

Executive Assistant and Public Affairs Coordinator

Investment Industry Regulatory Organization of Canada - Toronto , ON

Assists in development of internal and external presentations. Contributes to the efficient functioning of the Vice-President’s office through the expeditious… read more

12 days ago

Director, Public Affairs

Investment Industry Regulatory Organization of Canada - Toronto , ON

Knowledge of financial services/securities industry with an understanding of regulatory terminology. Provides support to the Manager of Media Relations in the… read more

12 days ago

Senior Specialist IGSI Trade Centre - Montreal/Winnipeg

IG Wealth Management - Montréal , QC

Is an investment dealer registered in all Canadian jurisdictions with the Investment Industry Regulatory Organization of Canada (IIROC). read more

7 days ago

Bilingual Senior Operations Representative - Bilingual

Scotiabank - Toronto , ON

Registration with the Investment Industry Regulatory Organization of Canada (IIROC). Strong knowledge of the securities / brokerage industry, including margin… read more

7 days ago

PIA Client Service Associate

TD Bank - Montréal , QC

Licensed with Investment Industry Regulatory Organization of Canada (IIROC) as an Investment Representative or Registered Representative. read more

13 days ago

AML Compliance Officer

Raymond James Ltd. - Vancouver , BC

Act as the primary SME for inquiries and to provide support and guidance on AML/ATF related matters under AML/ATF legislation and Investment Industry Regulatory… read more

10 days ago

Manager Client Services - Private Wealth Management

TD Bank - Quebec City , QC

Licensed with Investment Industry Regulatory Organization of Canada (IIROC) as an Investment Representative (IR) or Registered Representative (RR). read more

17 days ago

Associate Investment Advisor- Business Development

TD Bank - Montréal , QC

Licensed with Investment Industry Regulatory Organization of Canada (IIROC) as a Registered Representative (RR) requirement to maintain license in good standing… read more

24 days ago

Manager, Trade Management

BMO Financial Group - Mississauga , ON

Completed Canadian Securities Course (CSC) or IFIC course / Licensed with Investment Industry Regulatory Organization of Canada (IIROC) as a Supervisor with… read more

26 days ago

Case Assessment Officer

Investment Industry Regulatory Organization of Canada - Calgary , AB

Minimum 2 to 3 years of financial industry experience. Accurately assess and recommend the appropriate course of action for regulatory complaints related to… read more

30+ days ago

Branch Supervisor (Quebec Insurance)

Edward Jones - Mississauga , ON

The Branch Supervisor, known internally at Edward Jones as the Field Supervision Director (FSD) is registered with the Investment Industry Regulatory… read more

30+ days ago

Manager of Tax & Estate Planning

JBS Group - Moncton , NB

Worldsource Securities Inc., Member of the Canadian Investor Protection Fund, Member of the Investment Industry Regulatory Organization of Canada and sponsoring… read more

30+ days ago

Business Conduct Compliance Examiner

Investment Industry Regulatory Organization of Canada - Toronto , ON

As a self-regulatory organization, the Investment Industry Regulatory Organization of Canada (IIROC) takes our responsibility of setting high-quality regulatory… read more

30+ days ago

Corporate Branch Manager

CI Investments Inc - Toronto , ON

In this role, the successful candidate is expected to ensure that the business conducted in branch/sub-branch office locations under their supervision by… read more

30+ days ago

Corporate Branch Manager

CI Investments Inc - Winnipeg , MB

In this role, the successful candidate is expected to ensure that the business conducted in branch/sub-branch office locations under their supervision by… read more

30+ days ago

Customer Service Associate, Private Wealth Management

TD Bank - Quebec City , QC

Licensed with Investment Industry Regulatory Organization of Canada (IIROC) as an Investment Representative or Registered Representative. read more

30+ days ago

Business Conduct Compliance Examiner

Investment Industry Regulatory Organization of Canada - Montréal , QC

Undergraduate degree or combination of education and industry experience. Good knowledge of the Canadian securities market and the regulatory environment as… read more

30+ days ago
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