Compliance Officer, Surveillance - Toronto, Canada - CI Financial

CI Financial

Verified Company

Toronto, Canada

3 weeks ago

Posted by:

Sophia Lee

beBee Recruiter

Description

CI Financial is an independent company offering global wealth management and asset management advisory services through a diverse group of 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 that have 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.

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 opportunity to grow through stretching themselves, where they can work on innovative products and projects, and where employees are supported and engaged to do so.

JOB OVERVIEW

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 MFDA & IIROC Policies and other regulatory/corporate guidelines
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 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 resource on Surveillance related inquiries and requests from employees and Branches (including advisors, Branch Managers and support staff)
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

years' experience within Financial Services in sales, support or supervisory role

Previous compliance experience in dealership setting (IIROC or MFDA) is a definite asset
Strong verbal and written communication skills
PC literate with advanced knowledge of MS Office (Excel, Outlook, PowerPoint and Word)
Completion of Canadian Securities Course (CSC)
Completion of Conduct and Practices Handbook (CPH), or willing to enroll within six months of hire
Completion of, or willing to enroll in, Branch Manager Course would be an asset
Ability to work effectively and efficiently in a fastpaced environment
Detail oriented, extremely selfmotivated, dedicated and a good team player
Able to handle multiple tasks and priorities effectively

WHAT YOU CAN EXPECT FROM US
Our dedication to the Employee Experience at CI is aimed at supporting, empowering and inspiring our talented team through: