Senior Compliance Officer

CI Investments Inc.; Toronto; On-site; CAD 55,000 - 95,000; Full time

Benefits offered by this job

Training Reimbursement

Paid Professional Designations

Employee Savings Plan

Corporate Discount Program

Enhanced group benefits

Parental Leave Top–up

Job summary

CI Investments Inc. is seeking a Senior Compliance Officer, Surveillance to monitor client account activity of CI Assante advisors and support CI Assante advisors and Branch Managers on surveillance issues.

The role requires a degree or diploma, bilingual English/French, and 2–4 years of financial services experience with IIROC/MFDA exposure. The position is in-office four days per week and offers a comprehensive benefits package.

Qualifications

• University degree or college diploma.
• CSC certification is required.
• CPH certification or willingness to enroll within 6 months.

Responsibilities

• Monitor and document head office reviews of client account activity per CIRO rules and guidelines.
• Identify trading trends and potential conflicts of interest; escalate as needed.
• Respond to inquiries from reviews with advisors/branch managers.
• Prepare weekly summaries and ad hoc reports.

Skills

Bilingual English/French

Communication skills

Attention to detail

Team player

Multitasking

Education

University degree or college diploma

Canadian Securities Course (CSC)

Conduct and Practices Handbook (CPH)

Branch Manager Course (asset)

Tools

MS Office (Excel/Outlook/PowerPoint/Word)

Job description

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 Senior Compliance Officer, Surveillance to join our Compliance team. In this role, the successful candidate is expected to monitor client account activity of CI Assante advisors in accordance with internal procedures and regulatory requirements and to actively provide support to CI 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 CIRO 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
• Function 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

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 ofhire
• 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

This role follows our in office work model and requires employees to be onsite four days per week to support collaboration and business needs.

This opportunity is for an existing vacancy with the company. Theanticipatedbase salary range for this position is$55,000to $95,000. Exactsalary depends on several factors such as experience, skills, education, and budget. Salary range may vary based on geographic location. In addition to base salary, this position is eligible for participation in a bonus program. In addition, The Company offers a variety of benefits to eligible employees, including health insurance coverage, wellness programs, life and disability insurance, retirement savings plans, paid leave programs, education-related programs, paid holidays and vacation time, and many others. Many of these benefits are subsidized or fully paid for by 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. 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.

A Supportive Environment for Success

We offer an in-office environment, competitive benefits, and a supportive workplace to help our employees thrive both personally and professionally.

WHAT WE OFFER

• 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

We are focused on building a diverse and inclusive workforce.

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 [e-mail], or call 416-364-1145 ext. 4747.