Compliance Officer Trade Surveillance
CI Financial
Monitor client account activity through trade surveillance and regulatory analysis as a Compliance Officer at CI Financial, working onsite four days weekly. Support Assante advisors and Branch Managers on surveillance issues.
This Compliance Officer, Surveillance role monitors daily and monthly activity reviews. You will apply CIRO rules, regulations, corporate policies, and internal procedures while identifying suitability, concentration, conflicts, and unusual transactions. The position also supports inquiries, reporting, training, and procedure improvements.
Key Responsibilities:
- Conduct and document daily and monthly client activity reviews
- Analyze trading trends, suitability, conflicts, and unusual transactions
- Escalate surveillance concerns to the Manager of Trade Surveillance
- Prepare weekly follow-up summaries and ad hoc reports
- Support advisors, Branch Managers, employees, and branches
Requirements:
- University degree or college diploma
- Two to four years’ financial services experience
- Previous dealership compliance experience is an asset
- Advanced MS Office knowledge, including Excel and Outlook
- CSC and CPH completion; supervisor registration proficiency
Apply your regulatory knowledge, analytical judgment, and communication skills to strengthen CI Financial’s trade surveillance program.
#J-18808-LjbffrVacancy posted 4 hours ago
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