Senior Compliance Officer
Core
Monitor client account activity and advisor trading for suitability, conflicts of interest, and unusual transactions in accordance with regulatory requirements.
Role type
Senior Compliance Officer (Trade Surveillance)
Builds
Internal compliance reports, surveillance summaries, and policy updates for CI Assante advisors and Branch Managers.
Domain
Financial Services / Wealth Management / Trade Surveillance
Deliverable
dashboards & analysis
Required skills
Regulatory analysis, trend identification, report preparation, stakeholder communication, policy evaluation, multitasking
Preferred skills
Previous dealership compliance experience (IIROC/MFDA), bilingualism (English/French), training delivery
Technologies
MS Office (Excel, Outlook, PowerPoint, Word)
Responsibilities
Conduct daily and monthly head office reviews of client accounts; Identify and analyze trading trends and conflicts; Follow up on review inquiries with advisors and managers; Prepare weekly summaries and ad hoc reports; Serve as key contact for surveillance inquiries; Provide training to staff; Evaluate and update departmental procedures.
Seniority
Mid-Senior, hands-on IC
