Surveillance Compliance Officer at CI

Position: Surveillance Compliance Officer Role at CI
Take on the role of Compliance Officer, Surveillance r main focus will be monitoring client activities to ensure compliance and effective support for advisors.

In this position, you will conduct regular evaluations of account activities in adherence to internal policies and CIRO requirements.

Your role involves key responsibilities in identifying trends and potential conflicts, while collaborating with advisors and branch managers for operational efficiency. You will also participate in training initiatives and help refine compliance procedures.

Key Responsibilities:

• Review and document client account activities daily and monthly

• Analyze trading patterns for potential conflicts of interest

• Engage with branch managers for ongoing compliance support

• Generate and present compliance reports as needed

• Provide guidance and training to new compliance staff

Requirements:

• University degree or diploma in a relevant field

• 2-4 years’ experience in a Financial Services environment

• Previous compliance experience in a dealership context

• Bilingual proficiency in English and French preferred

• Strong skills in MS Office applications

Contribute your compliance knowledge to enhance CI's surveillance efforts and safeguard financial integrity.
#J-18808-Ljbffr