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Compliance Risk Manager

1 week ago

Toronto, Ontario, Canada CI Financial Full time

At CI Financial, we believe in fostering a culture where employees feel empowered to contribute meaningfully and grow professionally. Our team is seeking a skilled Risk Analyst to join our Credit/Finance team.

The ideal candidate will be responsible for monitoring margin accounts, managing risk exposure, and ensuring compliance with internal policies and industry regulations. They will work closely with the trade desk, finance, and compliance teams to mitigate risk while providing excellent support to clients and internal stakeholders.

  • Monitor margin accounts on an intraday basis based on live values and instruct the trade desk to liquidate positions or complete forced FX in a client's account if required.
  • Maintain up-to-date reports of bad debt clients and involve Compliance and Legal to follow up.
  • Monitor and review margin accounts, responding to any queries related to risk from internal departments.
  • Set up reimbursements to clients for interest and risk exposure fees as per debt agreements and other special agreements.
  • Responsible for monthly reviews of US Optionable securities to ensure the risk engine is up-to-date.
  • Complete second checks of account openings when required.
  • Ensure that data of indebted accounts are deactivated and accounts are not charged.

The successful candidate will have a minimum of two years of experience in risk management, preferably in the investment industry. A bachelor's degree or equivalent is required, along with proficiency in MS Office applications, particularly Excel and Word.