Compliance Officer, Surveillance

4 weeks ago

Toronto, Canada CI Financial Full time

JOB OVERVIEW

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.


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 (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


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 (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), or willing to enroll within six months of hire

-Completion of, or willing to enroll in, 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

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