Compliance Officer, Surveillance Specialist
17 hours ago
Job Summary
We 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 activity, focusing on compliance with CIRO rules and other regulations.
- Identify trends and potential conflicts of interest, conducting detailed analysis and escalating concerns to the Manager of Trade Surveillance as needed.
- Provide training to new compliance officers and other staff members, sharing knowledge and best practices.
- Work on special projects, collaborating with cross-functional teams to drive business objectives.
Requirements
- University degree or college diploma.
- Bilingual in English and French, written and verbal is an asset.
- 2-4 years' experience in Financial Services, preferably in sales, support, or supervisory roles.
- Previous compliance experience in a dealership setting is highly valued.
Why CI Financial?
At CI Financial, we prioritize building a diverse and inclusive workforce. We're committed to providing our employees with challenging opportunities, training, and career growth. You'll join a dynamic team dedicated to delivering exceptional service and driving our company's success.
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