Compliance Officer Trade Surveillance
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Key Responsibilities
- Conduct daily and monthly head office account reviews
- Document reviews against CIRO rules and corporate guidelines
- Identify trading trends and analyze unusual transactions
- Follow up with advisors and Branch Managers
- Prepare weekly summaries and ad hoc reports
Requirements:
- University degree or college diploma
- Two to four years’ financial services experience
- Previous dealership compliance experience is an asset
- Advanced knowledge of Excel, Outlook, PowerPoint, and Word
- Completion of CSC and CPH Bring surveillance analysis, regulatory knowledge, and communication skills to CI Financial’s Toronto Compliance team supporting Assante advisors.
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