Senior Compliance Officer
Core
Conducting compliance tasks and trading surveillance for multiple entities within CI Wealth Management to ensure regulatory adherence.
Role type
Senior Compliance Officer (Investment Dealer)
Builds
Regulatory reports, trade surveillance findings, and compliance task resolutions for CI Wealth Management.
Domain
Financial Services / Wealth Management / Regulatory Compliance
Deliverable
client delivery
Required skills
UMIR knowledge, CIRO rules knowledge, trade monitoring, regulatory reporting, stakeholder collaboration
Preferred skills
CSC certification, CPH certification
Technologies
Salesforce
Responsibilities
Conduct daily, monthly, and quarterly compliance tasks; monitor employee trading and approve pre-clearance requests; review personal trading activities; prepare quarterly Trade Desk reviews and reports; submit regulatory reports; respond to compliance inquiries.
Seniority
Senior, hands-on IC