Average salary: $75,841 /yearly
More statsSearch Results: 53 vacancies
$37.5k - $45k per year
...Canadian Securities Course (CSC), Conduct & Practices Handbook CPH, and 30-day training (i.e., holds Investment Representative license with IIROC) or willing to obtain within 12 months of employment
Strong organizational and communication skills
Comfortable using...
Suggested
Full time
Downtown
Flexible hours
...risk.
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
Full time
...Dealers’ Association (MFDA) and Assante Capital Management (ACM), a member of the Investment Industry Regulatory Organization of Canada (IIROC), is in compliance with applicable securities regulatory requirements as well as internal supervisory and compliance policies and...
Suggested
Full time
Internship
Local area
Immediate start
Flexible hours
...above
EXPERIENCE & EDUCATION
University Degree and/or 3-5 years industry experience
Canadian Securities Course (CSC) required
IIROC license preferred (required within first 90 days in role)
Complete Conduct & Practices Handbook (CPH) within first 90 days in role...
Suggested
Full time
Work from home
$64k - $79k per year
...or Finance)
~ Successful completion of Canadian Securities Course (CSC) and Conduct & Practices Handbook (CPH)
~ Licensed as an IIROC RR and working towards CFA (at least level 1)
~3+ years’ experience in the investment industry
~ Currently licensed or eligible...
Suggested
Full time
Work experience placement
Internship
...team of advisors, with a current book of business, who would like to gain the freedom and multiple benefits of joining an independent IIROC firm. The independent platform comes with offering a competitive payout and flexibility to run your business. Whether you are looking...
Suggested
Permanent employment
Full time
...Canadian Securities Course (CSC) and Conduct and Practices Handbook (CPH)
Experience working at RBC Dominion Securities or another IIROC investment firm, ideally as a Branch Operations Manager or Associate for 3 or more years.
A commitment to excellence, outstanding organizational...
Suggested
Full time
Downtown
Flexible hours
...: Managed Solutions is a strategic area within Client Services Operations responsible for client administration on both the MFDA and IIROC dealers with locations in Winnipeg, Montreal and Toronto. Managed Solutions is responsible for the administrative oversight of the i...
Suggested
Remote job
Internship
...Course (CSC) and Conduct and Practices Handbook Course (CPH)
If unlicensed then successful applicant would be required to complete the IIROC licensing courses – CSC & CPH within 9 months of employment commencement
• Strong Microsoft Office Suite skills
• High level...
Suggested
Full time
Flexible hours
$40k per year
...~ 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
Full time
Contract work
Part 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...
Suggested
Permanent employment
Shift work
...Build a profitable business and attract new clients with the assistance of the senior financial advisor. Qualifications required:
IIROC/CIRO licensed.
Business degree with finance focus
Minimum of 3-5 years' experience in investment and/or financial services industry...
Suggested
Full time
$38k - $55k per year
...documentation, track progress and follow up.
What do you need to succeed?
Must-have
Approval as a Registered Representative (RR) with IIROC
Successful completion of the Wealth Management Essentials (WME) course or Investment Management Techniques (IMT)
University...
Suggested
Full time
Flexible hours
...-to-have
~ Successful completion of the Wealth Management Essentials (WME) course Approval as a Registered Representative (RR) with IIROC
~4 years or more of professional experience within the investment industry
~ Meticulous attention to detail and strong problem solving...
Suggested
Full time
Flexible hours
...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
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...
...financial markets?
Can you showcase a minimum of 3 years of experience in an advisory role?
Are you a financial professional with current IIROC/CIRO licensing, or have you completed the Canadian Securities Course within the past 3 years, and the Conduct and Practice Handbook...
Full time
...corporate functions within investment or commercial bank or institutional broker-dealer is preferred.
Familiarity with applicable OSFI, IIROC, OSC, and Montreal Exchange as well extraterritorial broker dealer, swap dealer and banking rules applicable to international banks...
$60k - $70k per year
...&O policies and procedures and with forms and document templates which affect Aviso registrations and licensing
Respond to MFDA, IIROC and Insurance accounting inquiries and reconcile registration fees
Tracking of all QA and QAM New Advisor/Rep Supervision
Requirements...
Full time
Contract work
Temporary work
Internship
...Course (CSC) is an asset
Prior knowledge of financial industry policies and regulations including AML/ATF, Privacy, KYC, QI & FATCA, IIROC Reg 1300 and CRS is an asset
Knowledge of AS400, Broadridge, SCORE and WealthOne
Proficient in Microsoft Word, Excel, and Power...
Full time
