Compliance Officer, Surveillance

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  Location

  (CANADA) and Toronto

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  Job Reference

  17973

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  Functional Area/Experience

  Business, Accounting & Finance / 2 Years

Job Description & Qualifications

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. 

Overview

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 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)
• Compliance officers will also be delegated additional core tasks such as email surveillance, reviewing and maintaining pro-accounts and other tasks as warranted
• 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 (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 fast-paced environment
• Detail oriented, extremely self-motivated, 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:

• Recognition & Compensation
• Training & Development
• Health & Well-being
• Communication & Feedback

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. 

What we offer

• Modern HQ location within walking distance from Union Station
• Flexible & Hybrid Work Program
• Equipment Purchase Program
• Training Reimbursement
• Paid Professional Designations
• Employee Share Purchase Program (ESPP)
• Corporate Discount Program
• Enhanced group benefits
• Parental Leave Top–up program
• Fitness membership discounts
• Volunteer paid Days
• Complimentary vending machines

We are focused on building a diverse and inclusive workforce. If you are excited about this role and are not confident you meet all the qualification requirements, we encourage you to apply to investigate the opportunity further.

Please submit your resume in confidence by clicking “Apply”. Only qualified candidates selected for an interview will be contacted. 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. 

Job Skills/Competencies Required

• Bilingual in English and French, written and verbal is an asset
• Strong verbal and written communication skills
• PC literate with advanced knowledge of MS Office (Excel, Outlook, PowerPoint and Word)
• 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