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About the Role
Monitor client account activity of Assante advisors in accordance with internal procedures and regulatory requirements, and provide support to advisors and Branch Managers on surveillance-related issues.
Responsibilities
- Conduct, monitor, and document daily and monthly head office reviews of client account activity, focusing on CIRO rules, other regulations, and corporate guidelines.
- Identify trends in advisor and client account trading, emphasizing suitability, concentration, potential conflicts of interest, and unusual transactions, escalating concerns as 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.
- Serve as a key point of contact for surveillance-related inquiries from employees and Branches.
- Perform delegated tasks such as email surveillance, pro-account reviews, and sales/advertising approvals for additional CI firms.
- Provide training to new compliance officers and other staff.
- Continuously evaluate departmental procedures and participate in policy and procedure development and implementation.
- Work on special projects as requested.
Requirements
- University degree or college diploma.
- 2-4 years of experience in Financial Services in a sales, support, or supervisory role.
- Previous compliance experience in a dealership setting is an 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.
- Ability to work effectively and efficiently in a fast-paced environment.
- Detail-oriented, self-motivated, dedicated, and a good team player.
- Able to handle multiple tasks and priorities effectively.
Skills
- Bilingual in English and French (written and verbal) is an asset.
- Proficiency to be registered as an investment dealer supervisor.
- Completion of Canadian Securities Course (CSC).
- Completion of Conduct and Practices Handbook (CPH).
- Completion of the Investment Dealer Supervisors Course would be an asset.
Location
- Onsite
Work Type
- Onsite
- Full-time
Experience Level
- 2-4 years
Education Level
- University degree or college diploma
Salary/Compensations
- $60,000 to $71,000
Benefits
- Health insurance coverage
- Wellness programs
- Life and disability insurance
- Retirement savings plans
- Paid leave programs
- Education-related programs
- Paid holidays and vacation time
- Bonus program participation
- Modern HQ location within walking distance from Union Station
- 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, CI has consistently anticipated and responded to the changing needs of investors.
- CI is driven by a commitment to provide individuals and institutions with the highest-quality investments and advice.
- CI employees must be comfortable in a fast-paced environment that will stretch them to tap into their highest potential.
- Employees with ambition, a desire for continuous learning, and a willingness to go the extra mile thrive at CI.
Equal Opportunity
- 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.