Compliance Officer, Surveillance in Fredericton

At CI, we see a great place to work as one that is a safe place for everyone to have a voice, where people are empowered to take ownership over meaningful work, where there is an opportunity to grow through stretching themselves, where they can work on innovative products and projects, and where employees are supported and engaged in doing so.

We are currently seeking a Compliance Officer, Surveillance to join our Compliance team.

In this role, the successful candidate is expected to monitor client account activity of Assante advisors in accordance with internal procedures and regulatory requirements and to actively provide support to Assante advisors and Branch Managers on surveillance related issues.

WHAT YOU WILL DO

• Conduct, monitor and document daily and monthly head office reviews of client account activity with a focus on criteria outlined in CIRO (mutual fund dealer and investment dealer) rules, other regulations, and corporate guidelines and policies.
• Identify trends developing in trading of specific advisors and/or client accounts with an emphasis on suitability, concentration, potential conflicts of interest and unusual transactions, conducting detailed analysis and escalating concerns to the Manager of Trade Surveillance where necessary.
• Follow up on inquiries from daily and monthly reviews with advisors and/or branch managers.
• Prepare weekly summaries of follow up work and ad hoc reports as required.
• Functions as a key point of contact and a resource on surveillance related inquiries and requests from employees and Branches (including advisors, Branch Managers and support staff); Compliance officers will also be delegated additional core tasks such as email surveillance, reviewing and maintaining pro-accounts, sales/advertising approvals, and other tasks as warranted, which may also be for additional CI firms.
• Provide training to new compliance officers and other staff members.
• Continually evaluate the effectiveness of departmental procedures and participate in developing, maintaining, and implementing changes to the policies and procedures.
• Work on special projects, as requested.
• WHAT YOU WILL BRING
• University degree or college diploma.
• Bilingual in English and French, written and verbal is an asset.
• 2 - 4 years’ experience within Financial Services in sales, support or supervisory role.
• Previous compliance experience in dealership setting (investment dealer or mutual fund dealer) is a definite asset.
• Strong verbal and written communication skills.
• PC literate with advanced knowledge of MS Office (Excel, Outlook, Power Point and Word) experience with insurance compliance is an asset.
• Completion of Canadian Securities Course (CSC) or proficiency to be registered as an investment dealer supervisor.
• Completion of Conduct and Practices Handbook (CPH).
• Completion the Investment Dealer Supervisors Course would be an asset.
• Ability to work effectively and efficiently in a fast-paced environment.
• Detail oriented, extremely self-motivated, dedicated and a good team player.
• Able to handle multiple tasks and priorities effectively.

The anticipated base salary range for this position is$60,000 to $71,000.

Exact salary depends on several factors such as experience, skills, education, and budget.

Salary range may vary based on geographic location.

In addition to base salary, this position is eligible for participation in a bonus program.

The Company offers a variety of benefits to eligible employees, including health insurance coverage, wellness programs, life and disability insurance, retirement savings plans, paid leave programs, education-related programs, paid holidays and vacation time, and many others.

Many of these benefits are subsidized or fully paid for by the company.

This role follows our in office work model and requires employees to be onsite four days per week to support collaboration and business needs.

CI Financial is an independent company offering global wealth management and asset management advisory services through diverse financial services firms.

Since 1965, we have consistently anticipated and responded to the changing needs of investors.

We are driven by a commitment to provide individuals and institutions with the highest-quality investments and advice.

Our commitment to the highest levels of performance means that whatever their position, CI employees must be comfortable in a fast-paced environment that will stretch them to tap into their highest potential.

Employees with a healthy dose of ambition, a desire to commit to a curious mindset for continuous learning, and a willingness to go the extra mile thrive at CI.

SUPPORTIVE ENVIRONMENT FOR SUCCESS

We offer an in-office environment, competitive benefits, and a supportive workplace to help our employees thrive both personally and professionally.

WHAT WE OFFER

• Modern HQ location within walking distance from Union Station
• Training Reimbursement
• Paid Professional Designations
• Employee Savings Plan (ESP)
• Corporate Discount Program
• Enhanced group benefits
• Parental Leave
• Top–up program
• Paid time off for Volunteering
• DIVERSITY & INCLUSION

We are focused on building a diverse and inclusive workforce.

CI Financial Corp. and all of our affiliates (“CI”) are committed to fair and accessible employment practices and provide reasonable accommodations for persons with disabilities.

If you require accommodations in order to apply for any job opportunities, require this posting in an additional format, or require accommodation at any stage of the recruitment process please contact us at accessible. recruitment@ci. com, or call 416-364-1145 ext. 4747.

CI Financial is an independent company offering global wealth management and asset management advisory services.

Since 1965, we have consistently anticipated and responded to the changing needs of investors.

We are driven by a commitment to provide individuals and institutions with the highest-quality investments and advice.

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