Search Results: 42 vacancies
...The ideal candidate should have at least one year experience in the investment field working as an assistant/associate and be fully IIROC licensed.
What will you do?
Coordinate and prepare meetings for Advisors with their clients/prospects.
Provide proactive client...
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
$52k - $60k per year
...a 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
Internship
Immediate start
3 days per week
1 day per week
...The Must Haves:
University degree in business, commerce or equivalent degree related to the practice of financial planning
IIROC licensed as a Registered Representative (IIROC-RR) including completion of the Canadian Securities Course (CSC), the Conduct and Practices...
Suggested
$35 per hour
...~ Expert Microsoft Excel Skills
~ Knowledge of capital markets products, project management, and market regulatory regimes such as IIROC and Dodd-Frank
If you are interested in this opportunity, kindly send your resume in MS Word format to ****@*****.*** today!
#vms
Suggested
Contract work
...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
$20 per hour
...is looking for a Operations Specialist for a 12-month contract to assist with Investment Industry Regulatory Organization of Canada (IIROC) and Mutual Fund Dealers Association (MFDA) reporting. This role is fully remote.
As a Operations Specialist your duties will include...
Suggested
Contract work
Remote job
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$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
...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
...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
Full time
Shift work
...the related technology. He or she will ensure that rules, procedures and policies established by Laurentian Bank Discount Brokerage, IIROC and all other regulatory organizations are applied, followed and explained.
Responsibilities:
Maintain high-quality customer service...
Suggested
Work experience placement
Downtown
Flexible hours
Banque Laurentienne
Montréal, QC
4 days ago
...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
...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
...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
...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
$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
...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...
Full time
...accurate and timely performance of the weekly, monthly, and annual regulatory capital monitoring and report preparation in accordance with IIROC and CIPF regulatory framework.
Manage financial statement disclosures at the head office consolidated and legal entity level....
Full time
Flexible hours
...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...
Full time
Remote job
...~ 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...
Full time
