Compliance Officer, Surveillance
5 months ago
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.
JOB OVERVIEW
**Job Description**:
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)
- 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
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.
WHAT WE OFFER- Modern HQ location within walking distance from Union Station- Flexible & Hybrid Work Program- Equipment Purchase Program- Training Reimbursement- Paid Professional Designations- Employee Share Purchase Program (ESPP)- Corporate Discount Program- Enhanced group benefits- Parental Leave Top-up program- Fitness membership discounts- Volunteer paid Days- Complimentary vending machines
-
Compliance Officer, Surveillance Specialist
2 weeks ago
Toronto, Ontario, Canada CI Financial Full timeJob SummaryWe are seeking a highly skilled Compliance Officer, Surveillance to join our team at CI Financial. This role is responsible for conducting daily and monthly reviews of client account activity, identifying trends, and escalating concerns to the Manager of Trade Surveillance.Key Responsibilities- Conduct daily and monthly reviews of client account...
-
Compliance Officer, Surveillance
6 months ago
Toronto, Canada CI Financial Full timeJob Description 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...
-
Compliance Officer, Surveillance Specialist
1 month ago
Toronto, Ontario, Canada CI Financial Full timeJob SummaryWe are seeking a highly skilled Compliance Officer, Surveillance to join our team at CI Financial. This role will be responsible for conducting daily and monthly reviews of client account activity, identifying trends, and escalating concerns to the Manager of Trade Surveillance.Key ResponsibilitiesConduct daily and monthly reviews of client...
-
Compliance Officer, Trade Surveillance
2 months ago
Toronto, Canada Scotiabank Full timeRequisition ID: 208545 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. **Purpose** Contributes to the overall success of the Global Compliance Trade Surveillance Department (“GCTS”) within Global Banking and Markets & Treasury (“GBM&T”) Compliance in Canada, ensuring specific individual goals,...
-
Associate Compliance Officer, Trade Surveillance
6 months ago
Toronto, Canada BMO Financial Group Full time100 King Street West Toronto Ontario,M5X 1A1 **Note this is a 1-year contract opportunity.** BMOII’s Trade Surveillance team within the Legal, Regulatory, Compliance and Procurement Group (LRCP) has an opening for an Associate Compliance Officer (1-year contract) who will be responsible for conducting daily and monthly trade surveillance activities for...
-
Senior Compliance Officer, Trade Surveillance
3 months ago
Toronto, Canada Scotiabank Full timeRequisition ID: 205599 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. Purpose The objective of the Senior Compliance Officer (SCO) is to directly conduct capital markets trading related surveillance, monitoring and support for the Global Banking and Markets & Treasury (“GBM&T”) business...
-
Toronto, Ontario, Canada Scotiabank Full timeKey ResponsibilitiesThe Senior Compliance Officer, Trade Surveillance will directly conduct capital markets trading related surveillance, monitoring, and support for the Global Banking and Markets & Treasury business division of Scotiabank. This role is responsible for carrying out certain Tier 2 compliance activities for assigned internal business groups in...
-
Toronto, Ontario, Canada Scotiabank Full timeJob Title: Senior Compliance Officer, Trade SurveillanceRequisition ID: 205599Scotiabank 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 &...
-
Toronto, Canada undisclosed Full timeRequisition ID: 210469 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.PurposeThe objective of the Compliance Officer (CO) is to directly conduct capital markets and retail trading related surveillance and support for the Global Banking and Markets & Treasury (“GBM&T”) and Wealth Management business...
-
Old Toronto, Canada Scotiabank Full timeJoin a purpose driven winning team, committed to results, in an inclusive and high-performing culture. Purpose The objective of the Compliance Officer (CO) is to directly conduct capital markets and retail trading related surveillance and support for the Global Banking and Markets & Treasury (“GBM&T”) and Wealth Management business divisions of...
-
Old Toronto, Canada Scotiabank Full timeJoin a purpose driven winning team, committed to results, in an inclusive and high-performing culture.PurposeThe objective of the Compliance Officer (CO) is to directly conduct capital markets and retail trading related surveillance and support for the Global Banking and Markets & Treasury (“GBM&T”) and Wealth Management business divisions of Scotiabank....
-
Old Toronto, Canada Scotiabank Full timeRequisition ID: 210469 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. Purpose The objective of the Compliance Officer (CO) is to directly conduct capital markets and retail trading related surveillance and support for the Global Banking and Markets & Treasury (“GBM&T”) and Wealth Management...
-
Compliance Officer, Trade Surveillance
1 month ago
Old Toronto, Canada Scotiabank Full timeJoin a purpose driven winning team, committed to results, in an inclusive and high-performing culture. Purpose Contributes to the overall success of the Global Compliance Trade Surveillance Department (“GCTS”) within Global Banking and Markets & Treasury (“GBM&T”) Compliance in Canada, ensuring specific individual goals, plans, initiatives are...
-
Compliance Officer, Trade Surveillance
1 month ago
Old Toronto, Canada Scotiabank Full timeRequisition ID: 208545Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. Purpose Contributes to the overall success of the Global Compliance Trade Surveillance Department (“GCTS”) within Global Banking and Markets & Treasury (“GBM&T”) Compliance in Canada, ensuring specific individual goals, plans,...
-
Compliance Officer, Trade Surveillance
2 months ago
Old Toronto, Canada Scotiabank Full timeRequisition ID: 208545Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.PurposeContributes to the overall success of the Global Compliance Trade Surveillance Department (“GCTS”) within Global Banking and Markets & Treasury (“GBM&T”) Compliance in Canada, ensuring specific individual goals, plans,...
-
Compliance Officer, Trade Surveillance
5 months ago
Toronto, Canada Scotiabank Full timeRequisition ID: 188102 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. **_ Purpose_** Contributes to the overall success of the Global Compliance Trade Surveillance Department (“GCTS”) within Global Banking and Markets & Treasury (“GBM&T”) Compliance in Canada, ensuring specific individual...
-
Compliance Officer, Trade Surveillance
6 months ago
Toronto, Canada Scotiabank Full timeRequisition ID: 189302 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. **_ Purpose_** Contributes to the overall performance of the Global Compliance Trade Surveillance Department (GCTS) within Global Banking and Markets & Treasury (“GBM&T”) Compliance in Canada. Activities are focused on specific...
-
Old Toronto, Ontario, Canada TD Full timeJob Summary:The AVP, Compliance, Trade Surveillance and Communications, TDS is responsible for overseeing regulatory compliance across TD Securities in accordance with the Global Compliance Operating Framework. This role involves leading a team of compliance professionals responsible for reviewing and enhancing the surveillance program for market abuse and...
-
Toronto, Canada Scotiabank Full timeRequisition ID: 210469Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. PurposeThe objective of the Compliance Officer (CO) is to directly conduct capital markets and retail trading related surveillance and support for the Global Banking and Markets & Treasury (“GBM&T”) and Wealth Management...
-
Surveillance Officer
6 months ago
Toronto, Canada CIRO OCRI Full time**Position Title: Surveillance Officer (ID)** **Department: Market Surveillance** **Region: Toronto** **Status: Permanent Full-Time (Hybrid)** As a vital member of the Market Surveillance team, you will utilize cutting edge technology and data analysis techniques to monitor trading, protect market integrity and administer CIRO's UMIR rules. You’ll gain...