Monitor client account activity as a Compliance Officer, Surveillance with CI Financial in Toronto, working onsite four days weekly. Apply financial services expertise.
This Compliance Officer supports CI's Compliance team by reviewing Assante advisor activity against CIRO rules, regulations, and corporate policies. You will analyze suitability, concentration, conflicts of interest, and unusual transactions. The role also supports advisors and Branch Managers while documenting reviews, escalating concerns, and maintaining surveillance procedures.
Key Responsibilities:
- Conduct daily and monthly head office account reviews
- Document reviews against CIRO rules and corporate guidelines
- Identify trading trends and analyze unusual transactions
- Follow up with advisors and Branch Managers
- Prepare weekly summaries and ad hoc reports
Requirements:
- University degree or college diploma
- Two to four years' financial services experience
- Previous dealership compliance experience is an asset
- Advanced knowledge of Excel, Outlook, PowerPoint, and Word
- Completion of CSC and CPH
Bring surveillance analysis, regulatory knowledge, and communication skills to CI Financial's Toronto Compliance team supporting Assante advisors.
Compliance Officer Trade Surveillance in Toronto employer: CI Financial Corp.
CI Financial is an exceptional employer that fosters a supportive and inclusive work environment, empowering employees to take ownership of meaningful projects while promoting professional growth. Located in a modern headquarters near Union Station, we offer competitive benefits, training reimbursement, and a culture that values continuous learning and innovation, making it an ideal place for ambitious individuals looking to thrive in the financial services sector.
