Average salary: $75,841 /yearly
More stats ...The Must Haves:
University degree in business, commerce or equivalent degree related to the practice of financial planning
IIROC Licensed as a Registered Representative (RR), will also consider IR licensed
At minimum, the Canadian Securities Course & Conduct &...
Suggested
Full time
...Canadian Securities Course & Conduct and Practices Handbook.
Registration as Registered Representative (RR).
Complies with mandatory IIROC Continuing Education Program requirements.
WME must be completed within 30 months of RR License
Specialized knowledge from...
Suggested
Full time
$20 per hour
...is looking for a Operations Specialist for a 10-months contract to assist with Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association (MFDA).
This role is 1 day in office in Downtown Toronto
As a Operations Specialist your duties...
Suggested
Contract work
Downtown
...salary along with an attractive commission/bonus plan.
Base Salary Range: $140000 $200000
Role: Conduct sales meetings with IIROC advisors while explaining the advantages of partnering with the firm & the benefits of alternative investments. To achieve this you will...
Suggested
Full time
.../ Experience:
University degree or work equivalency
Successful completion of Canadian Securities Course and progressing towards IIROC IR (Investment Representative) license is preferred
Thorough understanding of Scotia iTRADE products, process, policy and services...
Suggested
Full time
...track record of performance and a proactive mindset, who want to help Canadians achieve their financial goals. Our ideal candidate is a IIROC or MFDA registrant, has a minimum of 5 years’ experience in the financial services industry, along with experience leading, attracting...
Suggested
...~ Current registration as Investment Representative (IR).
~10 CO credits/Compliance training over a 2 year cycle to meet Mandatory IIROC Continuing Education requirement.
~ Specialized knowledge.
~ Verbal & written communication skills - Good.
~ Organization skills...
Suggested
Temporary work
...or equivalent
~2 years’ experience in an administrative or clerical position, preferably within the financial services industry
~ IIROC licensed as an Investment Representative which includes the completion of the Canadian Securities Course (CSC), the Conduct and Practices...
Suggested
Full time
...results effectively to determine success.
Ensures that marketing activities are conducted in compliance with governing regulations (CIRO/IIROC/MFDA), internal policies, style guidelines, and procedures.
Develops and leverages key relationships across a network of trusted...
Suggested
...positive attitude as a member of the team and works closely with other Operational teams
~ Reviews current processes of MFDA and IIROC estate settlements and pro-actively make recommendations for improvement
~ Ensures training checklist is up to date and current...
Suggested
Full time
Immediate start
3 days per week
1 day per week
...succeed?
Must-have
~5 years of professional experience in the investment industry
~ Registered Representative (RR) license with IIROC (i.e., CSC, CPH, and WME)
~ Financial planner diploma granted by the Institute of Financial Planning
~ Bilingualism (English and French...
Suggested
Full time
Flexible hours
$55 per hour
...currently hybrid, 2-3 days per week in office in Toronto.
The main function of a Business Analyst will be providing assistance with IIROC/CIRO regulatory reporting ongoing remediation efforts.
Responsibilities Include:
Collect and document detailed business requirements...
Suggested
Contract work
2 days per week
3 days per week
$65 per hour
...Course, and/or the Trader Training Course are helpful
An understanding of the Investment Industry Regulatory Organization of Canada (IIROC) dealer rules
If you are interested in this opportunity, kindly send your resume in MS Word format to ****@*****.*** today!
Suggested
Contract work
2 days per week
3 days per week
$40 per hour
...specifically Wealth Management
~ Good knowledge of regulatory rule/obligations applicable to the Wealth Management Businesses (e.g., MFDA, IIROC, OSC, etc.)
~ Good working knowledge of Microsoft Excel, PowerPoint, and Word
~ Experience managing relationships with internal...
Suggested
Contract work
Downtown
2 days per week
...The Must Haves:
~ University degree in business, commerce or a degree related to practice of financial planning
~ CIRO (IIROC) licensed as a Registered Representative having completed the Canadian Securities Course, the Conduct & Practices Handbook and 90 day...
Suggested
...necessary corrections and actions
What do you need to succeed?
Must Have
Approval as a Investment Representative (IR) with IIROC
Exceptional written and verbal communication skills in English
Strong Microsoft Office skills, especially Excel
Demonstrated...
Full time
...customer experience in the financial services industry (preferably Wealth Management)
~ Ability to be immediately registered with IIROC (completion of Canadian Securities Course and Conduct and Practices Handbook Course)
~ Undergraduate degree in Commerce, Economics,...
Full time
Internship
Immediate start
$70 per hour
...reporting requirements
Qualifications:
~ At least 7+ years of experience working with Broker Dealer Regulatory Reporting including IIROC
~ Understanding of CIRO and new reporting requirements
~4+ years of experience in capital markets or wealth management
~...
Contract work
2 days per week
...and support functions crossing all delivery channels preferred
Strong working knowledge of regulatory bodies including OSFI, OSC, IIROC, and MFDA
Proficient knowledge of Excel, PowerPoint, Word, Visio and Power BI
Excellent problem solving, negotiating skills and...
Full time
...to determine priorities and tasks to be completed.
Work closely with internal partners to understand the information pertaining to IIROC and MFDA firms/dealerships.
Participate in special projects, departmental and project group meetings, and sharing feedback when needed...
Full time
Shift work
$41.6k per year
...Canadian Securities Course & Conduct and Practices Handbook.
Registration as Registered Representative (RR).
Complies with mandatory IIROC Continuing Education Program requirements.
WME must be completed within 30 months of RR License
Specialized knowledge from...
Full time
$40 per hour
...system.
Qualifications:
Audit Experience (3-5 years)
Compliance experience (3-5 years)
Knowledge of New SRO (formerly IIROC) rules and CSA/OSC National Instruments
SharePoint experience
Canadian Securities Course and Conduct and Practices Handbook...
Contract work
Internship
$124.2k - $151.8k per year
...For our role, you will need the following skills and experience:
~7- 10 years of expertise in the wealth industry; licensed in either IIROC or MFDA, compliance and financial planning and experience in reviewing budgets and key metrics.
~2+ years of people leadership...
Full time
Local area
Work from home
Flexible hours
...reform initiatives, internal audit, third party risk management is an asset
Working knowledge of regulatory bodies including OSFI, OSC, IIROC, and MFDA
Proficient knowledge of Excel, PowerPoint, Word, Visio, and Power BI
Effective written and verbal communication skills...
Full time
...financial institution.
Prior people management experience
BA/BS or equivalent
In-depth knowledge of global Regulatory requirements (IIROC, FINTRAC, FINRA, FCA, OFSI, IRS, etc.) and/or experience working with regulatory or rule-based environments.
Familiarity with...
Full time
Flexible hours
Investment Assistant (IIROC)
Our client in the Wealth Management industry is looking for an Investment Assistant to join their team in North York. Your role as a Client Service Coordinator is to work alongside Portfolio Managers to deliver highvalue service to their...
Full time
...would love to work with you if you have:
Experience in the securities industry
Approval as a Registered Representative (RR) with IIROC
Successfully completed the Wealth Management Essentials (WME)
Excellent verbal and written communication skills
Meticulous...
...field and have full understanding of CIRO-IDD Rule 2703.
*Proficiency in MS 365, Share Point, One Drive, Power BI and Adobe Acrobat, IIROC Services, National Registration Database (NRD)
* This is a fixed term assignment set to end December 2024
*This is a hybrid role...
Contract work
Temporary work
Part time
Fixed term contract
Internship
...through the active mining of your book of business.
The Must Haves:
University degree in business, commerce or equivalent.
IIROC licensed as a Registered Representative (IIROC-RR) including completion of the Canadian Securities Course (CSC), the Conduct and...
Full time
...-5 years of KYC/AML Capital Markets experience with a financial institution.
In-depth knowledge of global Regulatory requirements (IIROC, FINTRAC, FINRA, FCA, BSA, MAS, etc.) and/or experience working with regulatory or rule-based environments.
Ability to work under pressure...
Full time
Flexible hours