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.

What You Will Do

- 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
- Follow up on inquiries from daily and monthly reviews with advisors and/or branch managers
- Prepare weekly summaries of follow up work and ad hoc reports as required
- 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 new compliance officers and other staff members
- Continually evaluate the effectiveness of departmental procedures and participate in developing, maintaining, and implementing changes to the policies and procedures
- Work on special projects, as requested

What You Will Bring

- University degree or college diploma
- Bilingual in English and French, written and verbal is an asset
- 2 - 4 years' experience within Financial Services in sales, support or supervisory role
- Previous compliance experience in dealership setting (investment dealer or mutual fund dealer) is a definite asset
- Solid verbal and written communication skills
- PC literate with advanced knowledge of MS Office (Excel, Outlook, PowerPoint and Word)
- experience with insurance compliance is an asset
- Completion of Canadian Securities Course (CSC) or proficiency to be registered as an investment dealer supervisor
- Completion of Conduct and Practices Handbook (CPH)
- Completion the Investment Dealer Supervisors 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





This opportunity is for an existing vacancy with the company. The anticipated base salary range for this position is$60,000 to $71,000. Exact salary depends on several factors such as experience, skills, education, and budget. Salary range may vary based on geographic location. 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. Many of these benefits are subsidized or fully paid for by the company.

This role follows our in office work model and requires employees to be onsite four days per week to support collaboration and business needs.

Financière CI est une société indépendante offrant des services de conseil en gestion de patrimoine et en gestion d'actifs à l'échelle mondiale par le biais de diverses sociétés de services financiers. Depuis 1965, nous anticipons les besoins changeants des investisseurs et y répondons de manière fiable. Nous sommes animés par la volonté d'offrir aux particuliers et aux institutions des investissements et des conseils de la plus haute qualité. Notre engagement à fournir les niveaux de rendement les plus élevés signifie que, peu importe leur poste, les employés de CI doivent être à l'aise dans un environnement trépidant qui les poussera à exploiter tout leur potentiel. Les employés qui font preuve d'un degré d'ambition élevé, d'une volonté de faire preuve de curiosité intellectuelle pour ap

📌 Compliance Officer, Surveillance (Toronto)
🏢 CI Financial
📍 Toronto