Compliance Officer Trade Surveillance

CI Financial Corp.

Monitor client account activity as a Compliance Officer, Surveillance with CI Financial in Toronto, working onsite four days weekly. Apply financial services expertise.

This Compliance Officer supports CI’s Compliance team by reviewing Assante advisor activity against CIRO rules, regulations, and corporate policies. You will analyze suitability, concentration, conflicts of interest, and unusual transactions. The role also supports advisors and Branch Managers while documenting reviews, escalating concerns, and maintaining surveillance procedures.

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.

#J-18808-Ljbffr

Apply

Vacancy posted 8 hours ago

Similar jobs that could be interesting for youBased on the Compliance Officer Trade Surveillance in Toronto, ON vacancy

Trade Compliance Officer
$85k - $90k per year
...to offer at . The Opportunity: We’re looking for a Trade Compliance Officer to join our Compliance team. Reporting to the Director of... ...and correspondent). This includes daily and monthly trade surveillance reviews and quarterly trend analysis to detect manipulative...
Suggested
Full time
Internship
Aviso Wealth
Toronto, ON
more than 2 months ago
Customs & Trade Compliance Analyst
$75k - $95k per year
...Senior VP, North American Finance, we are hiring a Customs & Trade Compliance Analyst . to support compliant, accurate, and efficient... ...initially work in a hybrid model, spending regular time in the office as you learn our products and processes and build relationships...
Suggested
Full time
Internship
Work at office
Worldwide
Shift work
Array Marketing
Toronto, ON
15 days ago
Trade Compliance Specialist
...commitment to solving hard problems. We are growing our team and looking for contributors of all seniorities. We’re looking for a Trade Compliance Specialist to support day-to-day export and import compliance activities in Canada. This role will begin with high-volume export...
Suggested
Permanent employment
Full time
Tenstorrent
Toronto, ON
more than 2 months ago
Tax Compliance Officer
$70k - $80k per year
...its people, find out more about what Aviso has to offer at . The Opportunity: We are looking to fill an opening for a Tax Compliance Officer to join our Tax Compliance and Client Reporting team. Reporting to the Director, Tax and Client Reporting, the Tax Compliance...
Suggested
Full time
Internship
Aviso Wealth
Toronto, ON
more than 2 months ago
Corporate Compliance Officer
$90 - $150 per hour
...include Benchmark , General Catalyst , Peter Thiel , Adam D'Angelo , Larry Summers , and Jack Dorsey . Position: Compliance Officer Type: Contract Compensation: $90–$150/hour Location: Remote Duration: 3–4 weeks...
Suggested
Full time
Contract work
Summer work
Immediate start
Remote work
Mercor
Toronto, ON
more than 2 months ago
Regulatory Affairs & Product Compliance Coordinator - Head Office
$60k - $80k per year
...Position Summary As the Regulatory Affairs & Product Compliance Coordinator , you will play a key role in ensuring that Jumbo Canada... ...manage multiple projects simultaneously. Proficiency in Microsoft Office, particularly Excel. Excellent written and verbal...
Full time
Internship
Seasonal work
Work at office
Fox Group Canada
Toronto, ON
2 days ago
Senior Manager, Canada Customs & Trade Compliance - 63711531410
...role in managing Canadian import customs compliance across the organization. This is a senior... ...preferred , while professional customs/trade certification and experience with... ...logistics stakeholders. Strong Microsoft Office skills, particularly Excel . Experience...
Full time
Work at office
Somewhere
Toronto, ON
more than 2 months ago
Radiation Safety Officer - Compliance Expert
$65 - $75 per hour
...Summers , and Jack Dorsey . Position: Radiation Safety Officer Type: Contract Compensation: $65–$75/hour... ...experience with Category 1 and 2 sealed sources. Licensing and compliance expertise with NRC or national regulator submissions. Radiation...
Full time
Contract work
Summer work
Remote work
Mercor
Toronto, ON
a month ago
Compliance Officer - AI Lab Support
...include Benchmark , General Catalyst , Peter Thiel , Adam D'Angelo , Larry Summers , and Jack Dorsey . Position: Compliance Officer Type: Contract Compensation: $1500/hour Location: Remote Duration: 4–5 weeks...
Hourly pay
Full time
Contract work
Summer work
Immediate start
Remote work
Mercor
Toronto, ON
more than 2 months ago
Compliance Specialist
$70k - $80k per year
...performing asset managers ? We are looking for a Compliance Specialist to join our Private Capital... ...internal and external sources. Our offices currently operate on a hybrid model... ...Compliance Team meetings with Asset Mix & Trading Operations and other functional teams....
Full time
Internship
Work at office
Remote work
Flexible hours
Connor, Clark
Toronto, ON
2 days ago
Manager, ESG Reporting & Compliance
...sustainable development. The Company’s shares are traded on the TSX and NYSE under the symbol AGI. Manager, ESG Reporting & Compliance Reporting to the Vice President,... ...travel regularly to Alamos Gold operations and offices, both domestically and internationally ~...
Full time
Alamos Gold Inc.
Toronto, ON
16 days ago
Intern, Compliance (Winter 2027)
.... The Opportunity We're seeking for an Intern, Compliance student to join our team for the summer term, this is a dynamic... ...firm’s strategic objectives ~ Assist with the personal trading and monitoring program ~ Co-ordinate the implementation and...
Hourly pay
Long term contract
Summer work
Internship
Immediate start
Flexible hours
Picton Mahoney Asset Management
Toronto, ON
2 days ago
Senior Business Analyst (FO, Metals Trading)
$80 - $110 per hour
...Serve as a subject matter expert in Metals trading, including precious and base metals.... ...settled metals transactions and related front-office workflows. Gather, analyze, and... ...ensure seamless operations and regulatory compliance. Manage change requests and support structured...
Full time
Contract work
Internship
Exadel
Toronto, ON
24 days ago
On Premise Trade Marketing Manager
$98.52k - $108.89k per year
...Company Description The On Premise Trade Marketing Manager – LSR (Limited Service Restaurants) is the lead Trade Marketing role for the LSR segment within the Canadian On Premise organization. This national role is responsible for developing and executing the LSR Trade...
Full time
Red Bull
Toronto, ON
a month ago
Senior Compliance Officer
$55k - $95k per year
...engaged in doing so. We are currently seeking a Senior Compliance Officer to join our Compliance this role the successful candidate... ...and regulatory requirements and to be heavily involved in trading surveillance in multiple entities within CI Wealth Management....
Full time
Internship
Work at office
CI Financial
Toronto, ON
a month ago
Compliance Specialist - Financial Crime
$90 - $110 per hour
...Angelo , Larry Summers , and Jack Dorsey . Position: Compliance & Financial Crime Domain Intake — Shape Upcoming Compliance... ...monitoring, AML investigations, sanctions, fraud, trade surveillance, conduct compliance, regulatory reporting, or compliance testing...
Hourly pay
Weekly pay
Full time
Contract work
For contractors
Summer work
Remote work
Mercor
Toronto, ON
more than 2 months ago
Accounting Officer
...than traditional sources! We are looking for an Accounting Officer to join our team. Duties and Responsibilities ~ Cash receipt... ...and distribution of daily management reports ~ Compliance reporting ~ Reconciling bank statements and general ledgers...
Full time
Vault Credit Corporation
Toronto, ON
17 days ago
Trade Operations & Certifications Specialist
$100k per year
...our team and looking for contributors of all seniorities. We’re looking for a Trade Operations & Certifications Specialist to own and accelerate product certification and regulatory compliance activities that directly enable customer shipments and revenue realization. In...
Permanent employment
Full time
Tenstorrent
Toronto, ON
more than 2 months ago
Finance Officer
$65k - $72k per year
...respect, and inclusion. About the Role As the Finance Officer, you will be responsible for: Manage the full accounts payable... ...schedules, monitor corporate credit card activity for policy compliance, and prepare variance analyses and summaries to support informed...
Long term contract
Full time
Internship
Friends Of Ruby
Toronto, ON
17 days ago
Information Security Compliance Specialist
...never stops. The Adventure Ahead As our Information Security Compliance Specialist , you will be the front-line champion and strategist... ...helps us go further. Our team spends three days a week in the office (Tuesday-Thursday) to collaborate, solve problems, and learn...
Long term contract
Full time
Work at office
3 days per week
Docebo
Toronto, ON
23 days ago
Trading Platform Product Specialist
$94k per year
...Trading Platform Product Specialist Quantfury (Canada) is a fintech company that develops and supports one of the world’s fastest-growing... ...roles; Daily premium lunch catering, and keeping the office stacked with fruits and snacks; Arcade, foosball, snooker, pingpong...
Full time
Work at office
Work from home
Flexible hours
Quantfury
Toronto, ON
more than 2 months ago
Senior Security & Compliance Administrator
$70k - $110k per year
...Position at Stelumar Advanced Manufacturing Inc. Role: Senior Security and Compliance Administrator Location: Etobicoke & Mississauga, Ontario Company: Stelumar Advanced Manufacturing Inc. Department: Information Technology Employment Type...
Permanent employment
Full time
Mattamy Homes
Toronto, ON
13 days ago
Funding Officer, Bilingual
...you’ll join us. About the role: As a Bilingual Funding Officer, you will be responsible for reviewing applications and providing... ...of lending requirements, internal policies and procedures, and compliance and regulatory requirements. Follow security and safeguarding...
Full time
Internship
Work at office
Flexible hours
Shift work
Weekend work
Weekday work
Financeit
Toronto, ON
13 days ago
Compliance Investigator
$110.68k - $133.25k per year
...guided doctors. We are seeking an analytical and detail-oriented Compliance Investigator to join the Compliance Monitoring team. The... ...general management; Advanced proficiency with Windows 10 and Office 365; A valid Ontario Driver’s License and ability to travel within...
Long term contract
Full time
Contract work
Internship
Work at office
Remote work
1 day per week
Cpso Brand
Toronto, ON
more than 2 months ago
Compliance Analyst
...THE COMPANY Overview Pala Interactive is looking for a Compliance Analyst to work in a compliance team to assist the full product... ...and multitasking skills Strong working knowledge of Microsoft Office Bachelor's Degree in appropriate field of study or equivalent...
Full time
Casual work
Work at office
3 days per week
Pala Interactive
Toronto, ON
a month ago
Branch Compliance Manager, Temporary
$83k - $90k per year
...looking to fill an opening for a Branch Compliance Manager to join our Compliance team for 9... ...successful applicant will work closely with head office compliance staff to manage Aviso's... ...Tier 1 daily and monthly reviews of advisor trading activity Deal with compliance issues...
Full time
Temporary work
Internship
Work at office
Aviso Wealth
Toronto, ON
more than 2 months ago
Senior Director, Compliance & Enterprise Risk Management
...knowledgeable, detail-oriented, and solutions-focused Senior Director, Compliance (Enterprise Risk Management) to join our Risk & Compliance team.... ...effective processes. Reporting to the Chief Compliance Officer , this role will lead the development, implementation, and...
Long term contract
Full time
Immediate start
Flexible hours
Picton Mahoney Asset Management
Toronto, ON
1 day ago
Office Manager
...POSITION: Office Manager - Be the person who makes a 115-person workplace run brilliantly. EMPLOYMENT: Permanent, full-time REPORTS TO: EVP, Managing Director or their designate YOU SUPPORT: Our President and CEO, and a team of ~115 people WHY THIS ROLE MATTERS...
Permanent employment
Full time
Summer work
Internship
Work at office
Remote work
Black Stone Energy Company, L.l.c.
Toronto, ON
7 days ago
Executive Director, Chief Compliance Officer - Canada
...We're seeking someone to join our team as a Chief Compliance Officer - Canada in Wealth Management to assist the CIRO regulated Wealth Management business and the Canada-based Morgan Stanley at Work business in managing regulatory risks and protecting the franchise by ensuring...
Full time
Work at office
Morgan Stanley
Toronto, ON
1 day ago
Regulatory & Compliance - Associate
$80k - $95k per year
...About the Role iCapital is seeking a Compliance Associate to join the Global Regulatory and Compliance team to support our Compliance team... ...partner with the business teams to ensure that our Canadian office is operating within the letter and the spirit of the regulations...
Full time
Work at office
Remote work
Icapital, Llc
Toronto, ON
more than 2 months ago

Do you want to receive more vacancies?

Subscribe and receive similar vacancies to Compliance Officer Trade Surveillance. Be the first to apply!