Compliance Officer, Surveillance
Core
Monitor client account activity of Assante advisors for suitability, conflicts of interest, and unusual transactions in accordance with CIRO rules and regulations.
Role type
Compliance Officer (Trade Surveillance)
Builds
Daily and monthly head office reviews, weekly summaries, and ad hoc reports on advisor trading activity.
Domain
Financial Services (Investment/Mutual Fund Dealers)
Deliverable
dashboards & analysis
Required skills
Regulatory analysis, trend identification, conflict of interest detection, report preparation, policy evaluation, training delivery
Preferred skills
Email surveillance, pro-account review, sales/advertising approval, insurance compliance knowledge
Technologies
MS Office (Excel, Outlook, PowerPoint, Word)
Responsibilities
Conduct daily and monthly reviews of client account activity; Identify trends in trading with emphasis on suitability and conflicts; Follow up on inquiries from reviews; Prepare weekly summaries and ad hoc reports; Act as key point of contact for surveillance inquiries; Provide training to new compliance officers; Evaluate and update departmental procedures.
Seniority
Mid-level, hands-on IC
