investment industry regulatory organization of canada jobs in Canada

30 total jobs Page 1 of 2

Compliance Officer, Trade Surveillance

Scotiabank - Toronto , ON

An understanding of the Investment Industry Regulatory Organization of Canada (IIROC) dealer rules and UMIR, as well as a general understanding of Canadian… read more

11 hours ago

PIA Client Service Associate

TD Bank - Ottawa , ON

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

18 hours ago

PIA Client Relationship Associate (Mandarin Language Skills Required)

TD Bank - Richmond , BC

Licensed with Investment Industry Regulatory Organization of Canada (IIROC) as a Registered Representative (RR). Create reports for analysis of client accounts. read more

2 days ago

Senior Quality Assurance Analyst - 6 months contract

Investment Industry Regulatory Organization of Canada - Toronto , ON

Extensive knowledge in investment industry/capital markets and regulatory requirements. Minimum of 5 years of related technical testing, business and project… read more

2 days ago

Associate Investment Advisor - Generalist

TD Bank - Kitchener , ON

Licensed with Investment Industry Regulatory Organization of Canada (IIROC) as a Registered Representative (RR). Explain why you're a winning candidate. read more

3 days ago

PIA Client Service Associate

TD Bank - St. Catharines , ON

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

6 days ago

Senior Compliance Officer, Control Room (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

6 days ago

Compliance Officer, Control Room

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

7 days ago

Financial and Operations Compliance Examiner/Senior Financial and Operations Compliance Examiner

Investment Industry Regulatory Organization of Canada - Calgary , AB

Perform complex field examinations of the operations of assigned member firms. Solid understanding of the objectives of the examination process (Senior FinOps… read more

13 days ago

PIA Client Service Associate

TD Bank - Kingston , ON

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

7 days ago

Director, Trade Conduct Compliance

QUESTRADE INC - Toronto , ON

The purpose of the Director, Trade Conduct Compliance is to assist the Chief Compliance Officer (CCO) in ensuring Questrade operates within the rules and… read more

12 days ago

Policy Counsel - Contract

Investment Industry Regulatory Organization of Canada - Toronto , ON

Support and represent IIROC externally, provide interpretation of Dealer Member rules, and conduct presentations to others (e.g., other regulatory staff, Dealer… read more

30+ days ago

Contact Centre Sales Service Representative (Must speak : EN/Cantonese)

HSBC - Toronto , ON

Currently registered with the Investment Industry Regulatory Organization of Canada (IIROC) is an asset. In 2016, HSBC Bank Canada was named one of the “Best 50… read more

30+ days ago

Senior Finance Operations Analyst

TD Bank - Dieppe , NB

TDSI is the institutional broker-dealer arm of TD Bank, and is heavily regulated by IIROC (The Investment Industry Regulatory Organization of Canada). read more

30+ days ago

Financial Analyst, Operations - Contract

Investment Industry Regulatory Organization of Canada - Toronto , ON

Knowledge of securities industry would be an asset. Minimum of 5 years’ experience in accounting, financial analysis and reporting. read more

30+ days ago

Enforcement Counsel

Investment Industry Regulatory Organization of Canada - Toronto , ON

The Enforcement Counsel will conduct disciplinary proceedings before hearing panels of the Investment Industry Regulatory Organization of Canada and related… read more

30+ days ago

Senior Registration Officer - 1 Year Contract

Investment Industry Regulatory Organization of Canada - Montréal , QC

Conducts analysis to ensure initial and ongoing suitability of individuals based on the application/notice filed and type of registration/individual IIROC… read more

30+ days ago

Retail Trader (Investment Representative)

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

30+ days ago

Client Service Associate, Private Investment Advice

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

Branch Examiner - Bilingual

Aviso Wealth - Toronto , ON

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

30+ days ago

Institutional Sales Associate

Bloom Burton Securities - Toronto , ON

Is a healthcare-specialized investment banking firm located in Toronto, Ontario and is a member firm of the Investment Industry Regulatory Organization of… read more

30+ days ago

Transfer Administrator

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

30+ days ago

Manager, Business Analysis & Production Support

Investment Industry Regulatory Organization of Canada - Toronto , ON

Strong working knowledge of the functioning of the capital markets and securities industry, including a deep understanding of trading systems, practices, and… read more

30+ days ago

Senior Back Office Administrator

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

30+ days ago

Trading Specialist - 1 year contract

Investment Industry Regulatory Organization of Canada - Toronto , ON

Strong working knowledge of the functioning of the capital markets and securities industry, including a deep understanding of trading systems, practices,… read more

4 months ago
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