halton hills on compliance officer Jobs – 7 Openings This Week

Compliance Officer
Edward Jones —Mississauga, ON
- $77,000–$127,000 a year
- Bachelor's
- No university degree
- Profit sharing
5d
Senior Compliance Officer
Edward Jones —Mississauga, ON
- Full-time
- Bachelor's
- No university degree
- Financial services
- Profit sharing
Senior Branch Compliance Officer
Edward Jones —Mississauga, ON
- $86,000–$146,400 a year
- Full-time
- Finance
- Analysis skills
- Bachelor's
- Profit sharing
2d
Compliance Officer
Futures Canadian School —Mississauga, ON
- $17.60–$20.00 an hour
- Full-time
- Microsoft Office
- Accounting
- Communication skills
Quick apply
9d
Compliance Officer
MyLegacy Insurance Services —Mississauga, ON
- Full-time
- Spanish
- Microsoft Office
- Analysis skills
Director Compliance - Canada
Regeneron —Mississauga, ON
- Hybrid work
- English
- Travel
- Disability insurance
- Dental care

More jobs to discover

Find similar jobs that you might be interested in.

Director of Software Engineering – Infrastructure, Resiliency & Compliance
BMO Financial Group —Toronto, ON
This role is a unique blend of engineering leadership, system design expertise, and operational resilience , responsible for driving the full software…
$121,600–$211,800 a year
8d
Senior Branch Compliance Officer
Edward Jones —Mississauga, ON
Review, assess and approve Outside Activities Disclosures submitted by associates of Edward Jones, including financial advisors, registered branch associates,…
$86,000–$146,400 a year
2d

Show more similar jobs

Explore jobs in cities nearby

Check out jobs in cities near your current location, Columbus

Parking Compliance Officer - Limited Term
Ontario Tech University —Oshawa, ON
Acts as first point of contact for customers in the field with parking concerns including but not limited to wayfinding, payment options, ticket concerns,…
$62,905 a year
12d
Corporate Auditor & Compliance Officer
D Spot Franchising Inc. —Toronto, ON
Must possess a valid driver’s license and have access to a personal vehicle. Preferably Bachelor’s degree in Hospitality Management, Business Administration,…
Quick apply
9d

Show more jobs in cities nearby

I want to receive the latest job alerts for compliance officer in halton hills on

By signing in to your account, you agree to SimplyHired's Terms of Service and consent to our Cookie and Privacy Policy.

Explore jobs in more locations

compliance officer jobs near halton hills on

Compliance Officer jobs in Mississauga, ON

Senior Compliance Officer jobs in Mississauga, ON

Offender Transport Officer jobs in Ontario

Compliance Officer jobs in Calgary, Ab

Compliance Officer jobs in Oakville, On

Compliance Officer jobs in Montréal, Qc

Construction Safety Officer jobs in Vancouver, Bc

Compliance Officer jobs in Halifax, Ns

Senior Compliance Officer jobs in Markham, On

Senior Compliance Officer jobs in Montréal, Qc

Senior Compliance Officer jobs in Toronto, On

Senior Graphic Designer jobs in Remote

Truck Safety Compliance jobs in Ontario

Senior Financial Analyst jobs in Toronto, On

Senior Accountant jobs in Mississauga, On

Senior Compliance Officer jobs in Alberta

Compliance Officer jobs in Regina, Sk

Compliance jobs in Montréal, Qc

Compliance Officer jobs in Vaughan, On

Compliance Officer jobs in Toronto, On

Compliance Officer

Edward Jones -
Mississauga, ON

Apply Now

Job details

Fixed term contract
$77,000–$127,000 a year
5 days ago

Qualifications

Bachelor's
CSC

Full job description

Join a financial services firm where your contributions are valued. Edward Jones is a Fortune 500¹ company where people come first. With over 9 million clients and 20,000 financial advisors across the U.S. and Canada, we’re proud to be privately-owned, placing the focus on our clients rather than shareholder returns.

Behind everything we do is our purpose: We partner for positive impact to improve the lives of our clients and colleagues, and together, better our communities and society. We are an innovative, flexible, and inclusive organization that attracts, develops, and inspires performance excellence and a sense of belonging.

People are at the center of our partnership. Edward Jones associates are seen, heard, respected, and supported. This is what we believe makes us the best place to start or build your career.

View our Purpose, Inclusion and Citizenship Report.

¹Fortune 500, published June 2024, data as of December 2023. Compensation provided for using, not obtaining, the rating.

The Compliance Officer is responsible for ensuring compliance with laws and regulations of the various regulatory bodies as they relate to securities registration and insurance licensing for individuals, the firm, and branch locations. The role is also responsible for ensuring compliance with internal policies through end-to-end processes as well as the oversight, including monitoring and testing, of certain delegated activities including delivery of registration presentations and training to the financial advisor and registered branch associate trainees during onboarding.

Key Responsibilities:

Reporting and/or submission to CIRO, other self-regulatory organizations or Insurance Councils in advance of regulatory due dates.
Development and implementation of policies and procedures.
Preparation and/or approval of Compliance Bulletins or other written communications for branch team members and others in the firm.
The identification of problem situations or possible breaches of applicable regulations or policies, and the recommendation and implementation of corrective actions.
The preparation and delivery of training that may be necessary to deliver key compliance messages to home office associates or branch office associates. Including assessment of CE eligibility for internally created training, tracking and reporting to appropriate areas.
The compilation and regular reporting of statistics to senior staff, partners and other departments as appropriate. Including projected budget for registration and licensing of firm, individuals and branch locations.
Provide guidance and support as Compliance SME to other business areas.
Help to foster risk and compliance culture within the organization (workshops, training, awareness).

** 14 month contract position

Education and Experience:

Minimum Education: Bachelor's degree or equivalent experience
Preferred Education: Bachelor's degree
Minimum Experience: 3-5 Years
Preferred Experience: 3-5 Years

Licenses/Certifications:

CSC or RR Retails Securities Exam and CPH or CIRE
- Preferred

** 14 month contract position

At Edward Jones, we are building a place where everyone feels like they belong. We're proud of our associates' contributions to the firm and the recognitions we have received.

Check out our U.S. awards and accolades: Insights & Information Blog Postings about Edward Jones

Check out our Canadian awards and accolades: Insights & Information Blog Postings about Edward Jones

Edward Jones does not discriminate on the basis of race, color, gender, religion, national origin, age, disability, sexual orientation, pregnancy, veteran status, genetic information or any other basis prohibited by applicable law.

At Edward Jones, we value and respect our associates and their contributions, and we recognize individual efforts through a rewards program that promotes a long-term career, financial security and well-being. Visit our career site to learn more about our total compensation approach, which in addition to base salary, typically includes benefits, bonuses and profit sharing. The salary range for this role is based on national data and actual pay is based on skills, experience, education, and other relevant factors for a potential new associate.

Apply Now

Refine Your Search

compliance officer jobs in halton hills on

Compliance Officer

Senior Compliance Officer

Senior Branch Compliance Officer

Compliance Officer

Compliance Officer

Director Compliance - Canada

More jobs to discover

Explore jobs in cities nearby

I want to receive the latest job alerts for compliance officer in halton hills on

Explore jobs in more locations

Job seeker tools

Employer Tools

Browse

Stay Connected