Chez CI, nous considérons qu’un excellent lieu de travail est un endroit sécuritaire où chacun peut s’exprimer, où les employés ont la possibilité de s’investir dans un travail valorisant, où ils ont l’occasion de se dépasser pour progresser, où ils peuvent travailler sur des produits et des projets innovants, et où ils sont soutenus et encouragés dans leurs efforts. 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 CIRO (mutual fund dealer and investment dealer) rules, other regulations, and corporate guidelines and policies 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 Trade Surveillance where necessary Functions as a key point of contact and a resource on surveillance related inquiries and requests from employees and Branches (including advisors, Branch Managers and support staff) Compliance officers will also be delegated additional core tasks such as email surveillance, reviewing and maintaining pro-accounts, sales/advertising approvals, and other tasks as warranted,



which may also be for additional CI firms Provide training to current compliance officers and other staff members Work on special projects, as requested Bilingual in English and French, written and verbal is an asset ~Previous compliance experience in dealership setting (investment dealer or mutual fund dealer) is a definite asset ~ PC literate with advanced knowledge of MS Office (Excel, Outlook, PowerPoint and Word) ~ experience with insurance compliance is an asset ~ Completion the Investment Dealer Supervisors Course would be an asset ~ In addition to base salary, this position is eligible for participation in a bonus program. In addition, The Company offers a variety of benefits to eligible employees, including health insurance coverage, wellness programs, life and disability insurance, retirement savings plans, paid leave programs, education-related programs, paid holidays and vacation time, and many others. This role follows our in office work model and requires employees to be onsite four days per week to support collaboration and business needs.

Nous sommes animés par la volonté d’offrir aux particuliers et aux institutions des investissements et des conseils de la plus haute qualité. Nous offrons un environnement de travail en présentiel, des avantages sociaux concurrentiels et un milieu de travail bienveillant, afin de permettre à nos employés de s’épanouir tant sur le plan personnel que professionnel. Siège social moderne situé à distance de marche d’Union Station Remboursement de la formation Avantages sociaux collectifs améliorés Programme de complément de congé parental CI s’engage à prendre en compte les besoins d’accommodement pour les personnes handicapées.

📌 Compliance Specialist - Full Time (Toronto)
🏢 CI Financial
📍 Toronto