Compliance Officer, Surveillance

CI Financial•Toronto, ON

4d•CA$42,500 - CA$71,000•Onsite

About The Position

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.

Requirements

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, PowerPoint 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

Responsibilities

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