Current jobs related to Compliance Officer, Surveillance - Toronto, Ontario - CI Financial
-
Toronto, Ontario, Canada Scotiabank Full timeCompliance Officer, Retail SurveillanceScotiabank is seeking a highly skilled Compliance Officer to join our Canadian Wealth Distribution Compliance team. As a key member of our team, you will play a critical role in ensuring the bank's compliance with governing regulations, internal policies, and procedures.Key Responsibilities:Conduct compliance oversight...
-
Toronto, Ontario, Canada Scotiabank Full timeCompliance Officer, Retail SurveillanceScotiabank is seeking a highly skilled Compliance Officer to join our Canadian Wealth Distribution Compliance team. As a key member of our team, you will play a critical role in ensuring the bank's compliance with governing regulations, internal policies, and procedures.Key Responsibilities:Conduct compliance oversight...
-
Toronto, Ontario, Canada Scotiabank Full timeCompliance Officer, Retail SurveillanceScotiabank is seeking a highly skilled Compliance Officer to join our Canadian Wealth Distribution Compliance team. As a key member of our team, you will play a critical role in ensuring the bank's compliance with governing regulations, internal policies, and procedures.Key Responsibilities:Conduct compliance oversight...
-
Toronto, Ontario, Canada Scotiabank Full timeSenior Compliance Officer, Trade SurveillanceScotiabank is seeking a highly skilled Senior Compliance Officer to join our Trade Surveillance team. As a key member of our team, you will be responsible for conducting capital markets trading related surveillance, monitoring, and support for our Global Banking and Markets & Treasury business division.Key...
-
Toronto, Ontario, Canada Scotiabank Full timeSenior Compliance Officer, Trade SurveillanceScotiabank is seeking a highly skilled Senior Compliance Officer to join our Trade Surveillance team. As a key member of our team, you will be responsible for conducting capital markets trading related surveillance, monitoring, and support for our Global Banking and Markets & Treasury business division.Key...
-
Toronto, Ontario, Canada Scotiabank Full timeJob Title: Senior Compliance Officer, Trade SurveillanceScotiabank is seeking a highly skilled Senior Compliance Officer to join our Global Banking and Markets team. As a key member of our Trade Surveillance team, you will be responsible for conducting capital markets trading related surveillance, monitoring, and support.Key Responsibilities:Conduct...
-
Toronto, Ontario, Canada Scotiabank Full timeJob Title: Senior Compliance Officer, Trade SurveillanceScotiabank is seeking a highly skilled Senior Compliance Officer to join our Global Banking and Markets team. As a key member of our Trade Surveillance team, you will be responsible for conducting capital markets trading related surveillance, monitoring, and support.Key Responsibilities:Conduct...
-
Toronto, Ontario, Canada Scotiabank Full timeCompliance Officer, Retail SurveillanceScotiabank is seeking a highly skilled Compliance Officer to join our Canadian Wealth Distribution Compliance team. As a key member of our team, you will play a critical role in ensuring the bank's compliance with governing regulations, internal policies, and procedures.Key Responsibilities:Conduct compliance oversight...
-
Toronto, Ontario, Canada Scotiabank Full timeCompliance Officer, Retail SurveillanceScotiabank is seeking a highly skilled Compliance Officer to join our Canadian Wealth Distribution Compliance team. As a key member of our team, you will play a critical role in ensuring the bank's compliance with governing regulations, internal policies, and procedures.Key Responsibilities:Conduct compliance oversight...
-
Toronto, Ontario, Canada Scotiabank Full timeAbout the RoleWe are seeking a highly skilled Compliance Officer to join our Retail Surveillance team at Scotiabank. As a key member of our compliance team, you will play a critical role in ensuring that our business operations are in compliance with governing regulations and internal policies.Key ResponsibilitiesConduct compliance oversight and surveillance...
-
Toronto, Ontario, Canada Scotiabank Full timeAbout the RoleWe are seeking a highly skilled Compliance Officer to join our Retail Surveillance team at Scotiabank. As a key member of our compliance team, you will play a critical role in ensuring that our business operations are in compliance with governing regulations and internal policies.Key ResponsibilitiesConduct compliance oversight and surveillance...
-
Toronto, Ontario, Canada Scotiabank Full timeAbout the RoleThe Senior Compliance Officer, Trade Surveillance will play a critical role in ensuring the integrity of Scotiabank's trading activities. This position will be responsible for conducting capital markets trading related surveillance, monitoring, and support for the Global Banking and Markets & Treasury business division.Key...
-
Toronto, Ontario, Canada Scotiabank Full timeAbout the RoleThe Senior Compliance Officer, Trade Surveillance will play a critical role in ensuring the integrity of Scotiabank's trading activities. This position will be responsible for conducting capital markets trading related surveillance, monitoring, and support for the Global Banking and Markets & Treasury business division.Key...
-
Toronto, Ontario, Canada Scotiabank Full timeAbout the RoleWe are seeking a highly skilled Compliance Officer to join our Retail Surveillance team at Scotiabank. As a key member of our compliance team, you will play a critical role in ensuring the bank's compliance with regulatory requirements and internal policies.Key ResponsibilitiesConduct compliance oversight and surveillance duties to detect...
-
Toronto, Ontario, Canada Scotiabank Full timeAbout the RoleWe are seeking a highly skilled Compliance Officer to join our Retail Surveillance team at Scotiabank. As a key member of our compliance team, you will play a critical role in ensuring the bank's compliance with regulatory requirements and internal policies.Key ResponsibilitiesConduct compliance oversight and surveillance duties to detect...
-
Old Toronto, Ontario, Canada Scotiabank Full timeAbout the RoleWe are seeking a highly skilled Senior Compliance Officer to join our Trade Surveillance team at Scotiabank. As a key member of our team, you will be responsible for conducting capital markets trading related surveillance, monitoring, and support for our Global Banking and Markets & Treasury business division.Key ResponsibilitiesSurveillance...
-
Old Toronto, Ontario, Canada Scotiabank Full timeAbout the RoleWe are seeking a highly skilled Senior Compliance Officer to join our Trade Surveillance team at Scotiabank. As a key member of our team, you will be responsible for conducting capital markets trading related surveillance, monitoring, and support for our Global Banking and Markets & Treasury business division.Key ResponsibilitiesSurveillance...
-
Senior Trade Surveillance Compliance Specialist
1 month ago
Toronto, Ontario, Canada Scotiabank Full timeRequisition ID: 205599 Overview The Senior Compliance Officer (SCO) plays a pivotal role in executing surveillance and monitoring activities related to capital markets trading within the Global Banking and Markets & Treasury (GBM&T) division of Scotiabank. This position is tasked with ensuring adherence to regulatory mandates and internal policies...
-
Senior Trade Surveillance Compliance Specialist
1 month ago
Toronto, Ontario, Canada Scotiabank Full timeRequisition ID: 205599 Be part of a purpose-driven team that values results within an inclusive and high-performing culture. Objective The Senior Compliance Officer (SCO) is tasked with executing capital markets trading surveillance, monitoring, and support for the Global Banking and Markets & Treasury ("GBM&T") division of Scotiabank. The SCO plays a...
-
Compliance Officer
2 weeks ago
Toronto, Ontario, Canada BMO Full timeJob SummaryBMO is seeking a highly skilled Compliance Officer to join its Control Room team. As a Compliance Officer, you will play a critical role in ensuring the firm's compliance with regulatory requirements and maintaining a strong control environment.Key ResponsibilitiesCompliance Program Execution and MonitoringCoordinate coverage over multiple...
Compliance Officer, Surveillance
3 months ago
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
- 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)
- 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
