Search Results: 19 vacancies
$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
...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 of...
Suggested
Full time
Flexible hours
...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
...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
.../ 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
...~ 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
$20 per hour
...institution, is looking for a Trade Admin Analyst for a 12-month contract to assist with Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association (MFDA) reporting. This role is fully remote.
As a Trade Admin Analyst your duties will...
Suggested
Contract work
Remote job
...broker-dealer handling back office reconciliation responsibilities for options, securities operations and securities lending programs (IIROC-regulated dealer is preferred)
Are passionate about technology, specifically fintech.
Are organized with a strong attention to...
Suggested
Full time
Remote job
$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
...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
$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
$90 per hour
...FundServe and Cannex)
Good understanding of the regulations and required reporting requirements surrounding the above products/processes (IIROC, OSC, CDIC etc.)
Product Owner or other Agile training and/or certifications including CSC or CFA
University education in...
Suggested
Contract work
...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
Full time
$46 per hour
...the Trader Training Course is beneficial.
Possess an understanding of the Investment Industry Regulatory Organization of Canada (IIROC) dealer rules.
If you meet the qualifications and are interested in this role, please submit your resume to Navneet Kaur at ****@*****.***...
Suggested
Contract work
2 days per week
1 day 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
$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
...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
...ESTATE NOUR PROJECT MANAGEMENT
Our global Wealth Portfolio Management client has multiple remote fulltime remote roles for wealth IIROC licensed people in Canada know anyone TOP COMP IN THE INDUSTRY ! Direct HNW client facing not institutional Please share...
Full time
Remote job
Home office
