Senior Compliance Officer

CI Financial; Toronto; On-site; CAD 55,000 - 95,000; Full time

Benefits offered by this job

Health insurance coverage

Wellness programs

Life and disability insurance

Retirement savings plans

Paid time off

Education-related programs

Paid holidays and vacation time

Employee Savings Plan (ESP)

Corporate Discount Program

Parental Leave Top–up

Volunteering time off

Job summary

CI Financial seeks a Senior Compliance Officer, Surveillance to monitor client account activity for CI Assante advisors, performing reviews aligned with regulations and corporate policies. You will analyze trading patterns, identify risks, and escalate concerns to management while supporting branch staff.

The role emphasizes training, policy improvement, and collaboration within a fast-paced, in-office environment four days per week.

Qualifications

• University degree or college diploma.
• 2–4 years’ experience within Financial Services in sales, support or supervisory role.
• CSC and CPH completed or willing to enroll within six months.
• Branch Manager Course would be an asset.

Responsibilities

• Monitor client account activity and perform daily/monthly reviews in line with CIRO rules and regulations.
• Identify trends in advisor trading, assess suitability, concentration, conflicts of interest and unusual transactions; escalate as needed.
• Prepare summaries and reports; support CI Assante advisors and Branch Managers on surveillance issues.
• Provide training, participate in policy improvements, and assist with special projects.

Skills

Verbal and written communication

Bilingual English and French (asset)

Detail oriented

Team player

Education

University degree or college diploma

Canadian Securities Course (CSC)

Conduct and Practices Handbook (CPH)

Branch Manager Course (asset)

Tools

MS Office

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 DOConduct, 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 policiesIdentify 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 necessaryFollow up on inquiries from daily and monthly reviews with advisors and/or branch managersPrepare weekly summaries of follow up work and ad hoc reports as requiredFunction 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 firmsProvide training to new compliance officers and other staff membersContinually evaluate the effectiveness of departmental procedures and participate in developing, maintaining, and implementing changes to the policies and proceduresWork on special projects, as requestedWHAT YOU WILL BRINGUniversity degree or college diplomaBilingual in English and French, written and verbal is an asset2 - 4 years’ experience within Financial Services in sales, support or supervisory rolePrevious compliance experience in dealership setting (IIROC or MFDA) is a definite assetStrong verbal and written communication skillsPC 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 hireCompletion of, or willing to enroll in, Branch Manager Course would be an assetAbility to work effectively and efficiently in a fast-paced environmentDetail oriented, extremely self-motivated, dedicated and a good team playerAble to handle multiple tasks and priorities effectivelyThis 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. The anticipated base salary range for this position is $55,000 to $95,000. Exact salary 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 SuccessWe offer an in-office environment, competitive benefits, and a supportive workplace to help our employees thrive both personally and professionally.WHAT WE OFFERModern HQ location within walking distance from Union StationTraining ReimbursementPaid Professional DesignationsEmployee Savings Plan (ESP)Corporate Discount ProgramEnhanced group benefitsParental Leave Top–up programPaid time off for VolunteeringWe 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.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 [e-mail], or call 416-364-1145 ext. 4747.