Bilingual Compliance Officer, Surveillance
CI Investments Inc
Toronto, ON
ABOUT US

Founded in 1995, Assante Wealth Management is a wholly owned subsidiary of CI Financial and one of Canada’s largest wealth management firms. Our 750 professional advisors, located in communities throughout the country, oversee approximately $39 billion in assets for more than 300,000 clients. Assante Wealth Management's services include investment management, retirement planning, tax planning, insurance and estate planning.

POSITION: Bilingual Compliance Officer, Surveillance

LOCATION: Toronto (M5J 0A3)

STATUS: Full-time

JOB OVERVIEW

We are currently seeking a Bilingual 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 MFDA & IIROC Policies 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.
Prepare weekly and monthly summaries of follow up work and ad hoc reports as required.
Functions as a key point of contact and 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 and other tasks as warranted
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
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
WHAT YOU CAN EXPECT FROM US

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 accessible.recruitment@ci.com, or call 416-364-1145 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.