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 reviewsDocument reviews against CIRO rules and corporate guidelinesIdentify trading trends and analyze unusual transactionsFollow up with advisors and Branch ManagersPrepare weekly summaries and ad hoc reportsRequirements:University degree or college diplomaTwo to four years' financial services experiencePrevious dealership compliance experience is an assetAdvanced knowledge of Excel, Outlook, PowerPoint, and WordCompletion of CSC and CPHBring surveillance analysis, regulatory knowledge, and communication skills to CI Financial's Toronto Compliance team supporting Assante advisors.

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