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    Compliance Officer, Surveillance - Toronto, ON, Canada - CI Financial

    CI Financial
    CI Financial Toronto, ON, Canada

    4 weeks ago

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    Description

    JOB OVERVIEW: Currently seeking a Compliance Officer, Surveillance to join the Compliance team to monitor client account activity of Assante advisors in line with internal procedures and regulatory requirements, providing support to advisors and Branch Managers.

    • WHAT YOU WILL DO:
    • Conduct, monitor, and document daily and monthly head office reviews of client account activity focusing on criteria outlined in CIRO rules, regulations, and corporate guidelines
    • Identify trends in trading of advisors and client accounts emphasizing suitability, concentration, conflicts of interest, and unusual transactions
    • Follow up on inquiries from reviews with advisors and branch managers
    • Prepare weekly summaries and ad hoc reports
    • Act as a key contact on surveillance related inquiries from employees and Branches
    • Provide training to new compliance officers and staff
    • Evaluate department procedures and participate in implementing changes
    • Work on special projects as requested
    • WHAT YOU WILL BRING:
    • University degree or college diploma
    • Bilingual in English and French is an asset
    • 4 years' experience in Financial Services in sales, support, or supervisory roles
    • Previous compliance experience in dealership setting is an asset
    • Strong communication skills
    • Proficient in MS Office
    • 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), or willingness to enroll within six months
    • Ability to work effectively in a fast-paced environment
    • Detail-oriented, self-motivated, dedicated, and a team player
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