Senior Compliance Supervisor - Private Wealth
Wellington-Altus
Wellington-Altus Private Wealth seeks a seasoned Supervisor to oversee Tier 1 supervision and risk management, ensuring CIRO compliance across registrants. The role requires CIRO Supervisor registration and industry designations such as CIM or CFA, with a strong focus on policy adherence and cross-functional collaboration.Ideal candidates have 5+ years with a CIRO member dealer (2+ in supervision), excellent communication, and strong analytical skills.
#J-18808-Ljbffr
#J-18808-Ljbffr
Vacancy posted 43 minutes ago
Similar jobs that could be interesting for youBased on the Senior Compliance Supervisor - Private Wealth in Winnipeg, MB vacancy
- Morgan Stanley is seeking a Wealth Management Registered Supervisor - Vice President to lead first-tier supervision, ensure strict compliance with CIRO rules, and coordinate risk management... ...Chief Risk Officer and collaborates with Senior Management to maintain a robust...Senior
Morgan-Stanley
Winnipeg, MB37 minutes ago - ...by human reviewers. #LI-AD1 Job Description The Opportunity: As a member of the FSQA team, the FSQA Audit and Compliance Supervisor is accountable for leading the plant’s internal audit and claim verification programs, preparing for and leading Maple Leaf, BRCGS...SuggestedFull time
- Manulife Wealth Inc. is seeking a Senior Field Supervision Manager to lead Tier 1 supervision for CIRO-registered advisors. You will oversee daily and... ...Field Supervision Associates, with collaboration across Compliance, Risk, Legal, and Operations to remediate #J-18808-LjbffrSenior
Manulife
Winnipeg, MB41 minutes ago - Elevate your career at Cardinal Point Wealth Management as a Senior Private Wealth Manager in Toronto, Canada. This full-time, partially remote role is... ...reports • Research and communicate tax strategies for compliance • Collaborate with external tax professionals for strategy...SeniorPrivateFull timeRemote work
Focus Partners Wealth
Winnipeg, MB43 minutes ago - TD Bank Group is seeking a seasoned wealth professional in Windsor, Ontario, to manage high-net-worth client relationships within Private Wealth Management. You will develop bespoke advice plans, coordinate with trust and estate services, and collaborate across TD’s wealth...SeniorPrivate
TD Bank Group
Winnipeg, MB39 minutes ago - ...Morgan Stanley Wealth Management Canada Inc. is seeking a Wealth Management Registered Supervisor - Vice President to oversee first-tier supervision of retail accounts, compliance and risk, reporting to the Chief Risk... ...awareness. This is a senior, non-revenue sharing supervisory...Senior
158 Morgan Stanley Wealth Management Canada Inc.
Winnipeg, MB43 minutes ago - A career as a Private Wealth Advisor in the Commercial & Private Banking 1859 team means acting as a preferred financial specialist for wealthy clients. This job allows you to have a positive impact on our organization, thanks to your skills in providing exceptional customer...PrivateWork at officeFlexible hours
National Bank of Canada
Winnipeg, MB39 minutes ago - Citi Private Bank in British Columbia, Canada seeks a Senior Private Banker to lead acquisition and ongoing relationship management... ...management, lending, and wealth planning while coordinating... ...generational relationships, and ensure compliance in a high-impact, client-centric...SeniorPrivate
Citigroup Inc.
Winnipeg, MB44 minutes ago $150k - $180k per year
Job Description Summary: Cardinal Point Wealth Management is seeking a career-oriented Senior Private Wealth Manager/Portfolio Manager for a team leadership role... ...of Know your Client (KYC), AML/ATF, and FATCA compliance documentation. Engaging with clients to establish...SeniorPrivateFull timeWork at officeLocal areaFocus Financial Partners
Winnipeg, MB40 minutes ago- ...Posted on 11/04/2024We arelooking for a key contributor to join our compliance team as a ComplianceManager based in our Montreal office.... ...of Canada’s longest standingfee-only providers of integrated wealth management services to high-net-worthfamilies. Since 1979, our team...Work at office
Staffing In Motion
Winnipeg, MB41 minutes ago - ...Morgan Stanley is seeking a Wealth Management Registered Supervisor - Vice President in Toronto to lead supervision, risk and compliance activities within MSWC. You will report to the Chief Risk Officer and work with cross‑functional teams to enforce ethics, policies and regulatory...
Morgan Stanley
Winnipeg, MB37 minutes ago - Private wealth portfolio management in Vancouver or Calgary centers on investment counselling, client relationships, and holistic wealth advice... ...acquisition strategies and prospect pipelinesUnderstanding of compliance, AML, and conduct risk requirementsAbility to maintain...Private
Scotiabank
Winnipeg, MB39 minutes ago - HS Financial Technologies (HSFT) is a global technology and fund administration partner to alternative asset managers. A Private Equity Supervisor will execute duties under guidance, oversee a team, and support NAV, fees, and audits. Strong finance background and PE exposure...SeniorPrivate
HS Financial Technologies
Winnipeg, MB43 minutes ago $150k - $180k per year
## Private Wealth Manager/Portfolio ManagerApply: Partially Remote: Toronto, Canada: Full time: Posted Today: JR100475**Job... ...returns as part of the financial planning process to ensure past compliance work was done correctly.* Research complex individual,...PrivateFull timeRemote workFocus Partners Wealth
Winnipeg, MB43 minutes ago- Use financial planning expertise to advise wealthy clients as a Private Wealth Advisor in Montreal with hybrid work flexibility. Build trusted relationships while delivering exceptional service.Within National Bank's Commercial & Private Banking 1859 sector, you will develop...Private
National Bank of Canada
Winnipeg, MB40 minutes ago - Shape private wealth strategies in Toronto as an Associate Portfolio Manager, using investment counselling and relationship management for high net worth clients.Scotiabank seeks an Associate Portfolio Manager to advise clients on holistic wealth management and investment growth...Private
Scotiabank
Winnipeg, MB40 minutes ago - Drive profitable wealth management growth in Ontario and Northwestern Quebec with business... ...Manager at Desjardins, you’ll advance Private Wealth Management objectives across a territory... ...as a Registered RepresentativeDesignated Supervisor qualification through the IDSCAdvanced...Private
Desjardins
Winnipeg, MB38 minutes ago - Lead private client tax engagements at RSM using partnership, corporate, and trust... ...Company practice seeks a Tax Supervisor supporting private businesses and high... ...clients on succession planning, wealth transfer planning, and tax compliance. The work spans business and individual...PrivatePrivate practice
RSM US
Winnipeg, MB40 minutes ago - Lead cross-border wealth management in Toronto with Cardinal Point, applying investment management expertise and strong client communication in a hybrid setting.This full-time Private Wealth Manager and Portfolio Manager role supports high-net-worth clients and team development...PrivateFull time
LE0090 Cardinal Point Capital Management ULC
Winnipeg, MB40 minutes ago $70k - $150k per year
...: 11/20/2026Address: 1501 McGill College AvenueJob Family Group: Wealth Sales & ServiceThe Wealth Planning Support Team (WPST) is a business... ...(WPA) is responsible for providing financial planning support to Private Wealth Professionals, BMO Nesbitt Burns & BMO Private Banking....PrivatePart timeWork at officeWork from homeBMO
Winnipeg, MB43 minutes ago$110k - $150k per year
...Associate, Wealth Advisor - Stenner Wealth Partners+ Competitive Total Compensation Range... ..., working closely with Thane Stenner and senior team members. Build trusted, multigenerational... ...records in accordance with regulatory, compliance, and internal requirements. Business...SeniorLong term contractWork at office- ...management, quantitative analysis, and scenario planning. Support TD Wealth leadership through integrated decision support.As Manager,... ...performance management, strategic planning, and priority execution across Private Wealth Management. Partner with Finance, PWM lines of business,...PrivateWork at office
The Toronto-Dominion Bank (Canada)
Winnipeg, MB44 minutes ago - ...there's nowhere like RSM.RSM's Private Company practice is looking for a dynamic Tax Supervisor to join our team. At RSM, our Private... ...worth families strengthen their wealth and minimize tax.We serve single... ...and collaborate with senior leadership on growth opportunities...SeniorPrivateInternshipPrivate practiceWork at office
RSM US
Winnipeg, MB39 minutes ago $85k - $175k per year
...boul Rene Levesque Ouest Job Family Group: Wealth Sales & ServiceThe successful candidate... ...Investment Counsellor/Portfolio Managers of BMO Private Investment Counsel Inc. to develop... ...level and serves as a specialist resource to senior leaders and stakeholders. Applies expertise...SeniorPrivateLong term contractPart timeShift workBMO Nesbitt Burns Inc.
Winnipeg, MB42 minutes ago- ...is North America’s public and private market motor coach leader,... ...POSITION SUMMARY The Production Supervisor is responsible for providing... ...communication link to senior management and ensures objectives... ...Monitors and ensures budget compliance and provides updates on department...SeniorPrivateFull timeImmediate start
- ...firm providing a wide range of wealth management, investment banking,... ...Position Summary The Account Supervisor is responsible for a wide variety of supervisory, compliance and risk functions. The... ...other regulations. Together with Senior Management, ensures appropriate...SeniorWork at officeWorldwide
158 Morgan Stanley Wealth Management Canada Inc.
Winnipeg, MB38 minutes ago - Scotiabank in Edmonton is seeking a Wealth Management Banker to build and deepen high net worth client relationships. You will identify lending... ...partners to deliver integrated wealth solutions. You will market Private Banking credit solutions, develop business strategies to attract...SeniorPrivate
Scotiabank
Winnipeg, MB39 minutes ago - ...Cardinal Point Wealth Management in Toronto seeks a career-oriented Private Wealth Manager/Portfolio Manager with a minimum of 5 years managing a book of business. The ideal candidate is fully licensed in Canada with US cross-border licensing and has experience in financial...PrivateFull time
Cardinal Point Wealth Management, ULC
Winnipeg, MB42 minutes ago - BMO Financial Group recherche un leader marketing pour concevoir et exécuter des plans et stratégies alignés sur les objectifs commerciaux et les normes de la marque. Le rôle nécessite une forte expérience en marketing et en communications dans le secteur des services financiers...Private
BMO Financial Group
Winnipeg, MB41 minutes ago $250k - $300k per year
...unlock opportunities for long term wealth creation. Our talented, global... ...’ success. What is the Private Markets group responsible for?... ...Engagement Serve as the senior relationship manager for strategic... ...investment, product, legal, compliance, operations, and marketing teams...SeniorPrivateLong term contractTemporary workLocal areaFlexible hoursFranklin Templeton
Winnipeg, MB41 minutes ago
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Senior Compliance Supervisor - Private Wealth. Be the first to apply!
Related searches
- regulatory manager Winnipeg, MB
- customs compliance manager Winnipeg, MB
- safety compliance manager Winnipeg, MB
- compliance manager Winnipeg, MB
- directeur juridique Winnipeg, MB
- quality compliance manager Winnipeg, MB
- regulatory affairs project manager Winnipeg, MB
- regulatory compliance director Winnipeg, MB
- senior disability case manager Winnipeg, MB
- senior hardware engineer Winnipeg, MB