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About the Role

At CI, we foster a workplace where everyone has a voice, is empowered to take ownership of meaningful work, and has opportunities for growth through innovative projects. We are seeking a Compliance Officer, Surveillance to monitor client account activity for Assante advisors, ensuring compliance with internal procedures and regulatory requirements, and to support advisors and Branch Managers on surveillance issues.

Responsibilities

Conduct, monitor, and document daily and monthly head office reviews of client account activity, adhering to CIRO rules, regulations, and corporate guidelines.
Identify trading trends in advisor and client accounts, focusing on suitability, concentration, conflicts of interest, and unusual transactions; conduct detailed analysis and escalate concerns.
Follow up on inquiries from daily and monthly reviews with advisors and branch managers.
Prepare weekly summaries of follow-up work and ad hoc reports.
Serve as a key contact and resource for surveillance-related inquiries from employees and branches.
Perform additional core tasks including email surveillance, pro-account review and maintenance, and sales/advertising approvals for CI firms.
Provide training to new compliance officers and staff.
Evaluate departmental procedures and participate in developing, maintaining, and implementing policy changes.
Work on special projects as requested.

Requirements

Ability to work effectively and efficiently in a fast-paced environment
Detail oriented
Extremely self-motivated
Dedicated
Good team player
Able to handle multiple tasks and priorities effectively

Skills

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

Location

Modern HQ location within walking distance from Union Station

Work Type

In-office environment

Experience Level

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) (asset)
Experience with insurance compliance (asset)

Education Level

University degree or college diploma
Completion of Canadian Securities Course (CSC) or proficiency to be registered as an investment dealer supervisor
Completion of Conduct and Practices Handbook (CPH)
Completion of the Investment Dealer Supervisors Course (asset)

Salary/Compensations

$42,500 to $71,000

Benefits

Participation in a bonus program
Health insurance coverage
Wellness programs
Life and disability insurance
Retirement savings plans
Paid leave programs
Education-related programs
Paid holidays
Vacation time
Subsidized or fully paid benefits
Training Reimbursement
Paid Professional Designations
Employee Savings Plan (ESP)
Corporate Discount Program
Enhanced group benefits
Parental Leave Top–up program
Paid time off for Volunteering

About the Company

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.
Employees thrive in a fast-paced environment, committed to continuous learning and high performance.

Equal Opportunity

Focused on building a diverse and inclusive workforce.
Committed to fair and accessible employment practices.
Provides reasonable accommodations for persons with disabilities.