Monitor client account activity at CI Financial as a Compliance Officer, Surveillance, using regulatory analysis and detailed documentation. Work onsite four days weekly.
This Compliance Officer supports the Compliance team by reviewing Assante advisor activity against CIRO rules, regulations, and corporate policies. The role combines surveillance analysis, advisor support, and reporting responsibilities. It also contributes to training, procedure improvements, and special projects.
Key Responsibilities:
- Conduct daily and monthly head office account activity reviews
- Analyze suitability, concentration, conflicts, and unusual transactions
- Escalate concerns to the Manager of Trade Surveillance
- Follow up with advisors and Branch Managers on inquiries
- Prepare weekly summaries and requested ad hoc reports
Requirements:
- University degree or college diploma
- Two to four years in financial services
- Previous dealership compliance experience is an asset
- Advanced knowledge of Microsoft Office applications
- Completion of CSC and CPH requirements
Apply surveillance expertise, financial services experience, and regulatory judgment while supporting Assante advisors and Branch Managers at CI Financial.
Compliance Officer Trade Surveillance in Toronto employer: CI Investments Inc.
CI Financial is an exceptional employer that fosters a supportive and inclusive work environment, empowering employees to take ownership of meaningful projects while promoting personal and professional growth. With competitive benefits, including health insurance, wellness programs, and a modern HQ location near Union Station, employees are encouraged to thrive in a collaborative atmosphere. The company values ambition and continuous learning, making it an ideal place for those looking to excel in the investment fund industry.
