Bilingual Compliance Specialist

Career Opportunities: Bilingual Compliance Specialist (14083)

Requisition ID14083 -Posted - Location (1) -Canada - Province of Job Posting (1) - Career Site (2)

The mandate of the Compliance Department is to ensure compliance with relevant regulatory requirements affecting mutual fund investment dealers, insurance and mortgage business partners, including rules, policies, and by‑laws of the Canadian Investment Regulatory Organization (CIRO), the AMF, the CSF, provincial securities commissions, insurance commissions/councils and other regulators. The Department works closely with Distribution Leadership and other management to develop appropriate corporate policies, identify, and promote good business practices, execute business review programs to monitor sales practices, manage complaint resolution processes and conduct branch examination programs.

The Compliance Specialist reviews trade activity through daily and monthly reporting, analyzi...