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Compliance Officer Trade Surveillance
Job in
Toronto, Ontario, C6A, Canada
Listed on 2026-10-21
Listing for:
CI Financial Corp.
Full Time
position Listed on 2026-10-21
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Compliance, Financial Services, Banking Operations
Job Description & How to Apply Below
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 reviews
- Document reviews against CIRO rules and corporate guidelines
- Identify trading trends and analyze unusual transactions
- Follow up with advisors and Branch Managers
- Prepare weekly summaries and ad hoc reports
- University degree or college diploma
- Two to four years’ financial services experience
- Previous dealership compliance experience is an asset
- Advanced knowledge of Excel, Outlook, PowerPoint, and Word
- Completion of CSC and CPH
Bring surveillance analysis, regulatory knowledge, and communication skills to CI Financial’s Toronto Compliance team supporting Assante advisors.
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