Compliance Officer, Surveillance - (NYJ-107)

Compliance Officer, Surveillance - (NYJ-107)

21 Mar
CI Investments Inc.

21 Mar

CI Investments Inc.



CI Financial Corp. is one of Canada's largest investment fund companies. We work to help our clients achieve financial security and realize their dreams by delivering top-quality investment services and products, and strive to make the highest ethical principles an integral part of every business transaction and relationship. An opportunity at CI Financial goes beyond ensuring the right job - we promise you a successful future in financial services and the chance to bring your talent and potential to life.

POSITION: Compliance Officer, Surveillance

STATUS: Full-time



We are currently seeking a Compliance Officer, Surveillance to join our Compliance team. In this role,

the successful candidate is expected to monitor client account activity of Assante advisors in accordance with internal procedures and regulatory requirements and to actively provide support to Assante advisors and Branch Managers on surveillance related issues.


- Conduct, monitor and document daily and monthly head office reviews of client account activity with a focus on criteria outlined in MFDA & IIROC Policies, anti-money laundering legislation and other regulatory/corporate guidelines

- Identify trends developing in trading of specific advisors and/or client accounts with an emphasis on suitability, concentration, potential conflicts of interest and unusual transactions, conducting detailed analysis and escalating concerns to the Manager of Surveillance where necessary

- Follow up on inquiries from daily and monthly reviews with advisors and/or branch managers, soliciting branch comments and escalating unresolved situations to the Manager of Surveillance where necessary

- Prepare weekly summaries of follow up work and ad hoc reports as required for review by the Manager, Surveillance and prepare monthly reviews for follow up by branch managers

- Liaise with branch auditors, Provincial Compliance Officers and supervisory staff to communicate problematic deficiencies and areas of weakness for potential topic discussions on branch visits

- Provide telephone and e-mail support to advisors and branch managers on surveillance related issues

- Compliance officers will also be delegated additional core tasks such as email surveillance, credit monitoring, filing and monitoring insider trading reports, filling anti-terrorism reports, monitoring hold mail, reviewing and maintaining pro-accounts and other tasks as warranted

- Provide training to new compliance officers and other staff members

- Continually evaluate the effectiveness of departmental procedures, providing feedback to the Manager of Surveillance to improve efficiency and information reporting

- Work on special projects as requested


- University degree or college diploma

- 2 - 4 years' experience within Financial Services in sales, support or supervisory role

- Previous compliance experience in dealership setting (IIROC or MFDA) is a definite asset

- Strong verbal and written communication skills

- PC literate with advanced knowledge of MS Office (Excel, Outlook, PowerPoint and Word)

- Completion of Canadian Securities Course (CSC)

- Completion of Conduct and Practices Handbook (CPH), or willing to enroll within six months of hire

- Completion of, or willing to enroll in, Branch Manager Course would be an asset

- Ability to work effectively and efficiently in a fast paced environment

- Detail oriented, extremely self-motivated, dedicated and a good team player

- Able to handle multiple tasks and priorities effectively


Our dedication to the Employee Experience at CI is aimed at supporting, empowering and inspiring our talented team through:

- Recognition & Compensation

- Training & Development

- Health & Well-being

- Communication & Feedback

If you are a passionate, committed and dynamic individual, please submit your resume in confidence by clicking "Apply".

Only qualified candidates selected for an interview will be contacted.

CI Financial Corp. and all of our affiliates ("CI") are committed to fair and accessible employment practices and we are committed to providing accommodations for persons with disabilities. If you require accommodations in order to apply for any job opportunities, or require this posting in an additional format, please contact us at [email protected], or call (phone hidden) ext. 4747. If you are contacted by CI regarding a job opportunity or testing and require accommodation in any stage of the recruitment process, please use the above contact information. We will work with all applicants to determine appropriate accommodation for individual accessibility needs.

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