Toronto Compliance Officer Surveillance

Position: Toronto Compliance Officer for Surveillance
Join CI Financial as a Compliance Officer focused on Surveillance in Toronto. Ensure adherence to regulations while supporting Assante advisors through detailed compliance monitoring.

In this full-time role, you’ll actively engage in monitoring client account activities in accordance with both corporate guidelines and industry regulations. Your analytical skills will help identify trends and potential compliance issues, supporting a culture of accountability and excellence in financial services. Collaborate closely with branch managers and enhance your career while working on significant projects.

Key Responsibilities:

• Analyze daily client account activity and document findings

• Escalate compliance concerns to management

• Liaise with advisors and managers to resolve issues

• Generate compliance reports and training materials

• Evaluate and improve departmental procedures

Requirements:

• University degree or equivalent diploma

• Bilingual proficiency preferred

• 2-4 years in a financial advisory role

• Familiarity with compliance regulations is advantageous

• Proficient in MS Office suite

Become a vital part of CI Financial’s commitment to compliance and support in Toronto.
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