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Added 31 mins ago
CT
Restaurant manager
Church's Texas Chicken
Toronto, ON · Scarborough, ON
- Full-time
Added 31 mins ago
TH
Café manager
Tim Hortons Québec
Halifax, NS
- Full-time
Added 46 mins ago
KB
Yard Department Manager
Kent Building Supplies
Mount Pearl, NL
- Full-time
Handles associate and customer concerns in a fair and professional manner
Added 1 hour ago
SC
shift supervisor - Store# 04705, TOWN CENTER MALL
Starbucks Coffee Company
Powell River, BC
- Full-time
As a Starbucks Shift Supervisor, you will assist the store manager in executing store operations during scheduled shifts. As a team lead, you will deploy partners and delegate tasks to…
Added 1 hour ago
SC
shift supervisor - Store# 00151, SEABUS
Starbucks Coffee Company
Vancouver, BC
- Full-time
As a Starbucks Shift Supervisor, you will assist the store manager in executing store operations during scheduled shifts. As a team lead, you will deploy partners and delegate tasks to…
Added 1 hour ago
SC
shift supervisor - Store# 04085, SPRING GARDEN RD & QUEEN
Starbucks Coffee Company
Halifax, NS
- Full-time
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Added 1 hour ago
SC
chef de quart - Store# 18568, 71 BLVD DE LA GAPPE
Starbucks Coffee Company
Gatineau, QC
- Full-time
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SC
shift supervisor - Store# 81872, 230 SAGE HILL BOULEVARD NW
Starbucks Coffee Company
Calgary, AB
- Full-time
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Added 2 hours ago
AH
Service Worker I
Alberta Health Services
Rocky Mountain House, AB
- Temporary
…and blood products, and patient charts. You will report any concerns regarding supplies and safety issues to Unit Managers and perform other duties as…
Added 2 hours ago
GE
Hospitality F&B Assistant Manager
Grey Eagle Resort & Casino
Calgary, AB
- Full-time
…Restaurant” as an Indigenous experience for our customers through a ‘customer comes first’ attitude by providing hands-on, timely quality service, exceptional value, and a superior…
Added 4 hours ago
Account Manager - Calgary (Guardteck)
Kandor
Calgary, AB
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Added 4 hours ago
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Kandor
Burnaby, BC
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Added 5 hours ago
IH
Medical Office Manager
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- Full-time
We are seeking a dedicated and experienced Medical Office Manager to oversee the efficient operations of our medical practice in Ontario. The ideal candidate will be responsible for…
Added 6 hours ago
PV
Practice Manager
P3 Veterinary Partners
Kamloops, BC
- Full-time
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Added 6 hours ago
CT
restaurant manager
Church's Texas Chicken
Toronto, ON · Scarborough, ON
- Full-time
Added 6 hours ago
K
Quality Control Technician
Komatsu
Fort McMurray, AB
- Full-time
…where your expertise directly impacts safety, reliability, and customer satisfaction in the mining industry. We're looking for a hands-on QA Technician II who enjoys being in the field,…
Added 6 hours ago
HT
Proactive Monitoring Spec.
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- Full-time
…Monitoring Center Subject Matter Expert is in charge of monitoring customer’s equipment which is under the Advantage + Elite contract and ensure contractual commitments are fulfilled. By…
Added 6 hours ago
HT
Manager, Internal Controls
Husky Technologies
Bolton, ON
- Full-time
Husky TechnologiesTM a company with a strong foundation built on innovation, close customer relationships, a strong sense of community and a unique culture and values. We are looking for…
Added 6 hours ago
C
Sales Associate
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Mississauga, ON
- $17 USD / hour
- Part-time
Upon submitting your application, you can expect an update within 5 days. If the hiring manager wants to proceed with your application, the process will involve a face-to-face interview in…
Added 7 hours ago
TU
Front Counter Supervisor / Night Audit (Full Time Regular)
The University of British Columbia
Vancouver, BC
- $4,719 to $4,960 CAD / month
- Full-time
Expected to work with minimal supervision on routine tasks or minor guest problems and to consult with Front Desk Manager on any extraordinary problems, technical difficulties or policy…
Added 7 hours ago
DB
Part Time Bridal Sales
David's Bridal
Mississauga, ON
- $16 to $25.8 CAD / hour
- Part-time
…all customers. Stylists are responsible for providing 5-Star Customer Service to all David’s Bridal customers, achieving sales goals and productivity by expertly following our selling…
Added 8 hours ago
T
Personal Banker Trainee - Korean, Vietnamese, Mandarin and/or Cantonese are considered an asset
TD
Calgary, AB
- Full-time
Increase customer financial confidence by providing personalized financial advice, answering customer questions, and addressing their concerns; raising matters as appropriate to team…
Added 9 hours ago
T
Personal Banker Trainee - Korean, Vietnamese, Mandarin and/or Cantonese are considered an asset
TD
Calgary, AB
- Full-time
Increase customer financial confidence by providing personalized financial advice, answering customer questions, and addressing their concerns; raising matters as appropriate to team…
Added 10 hours ago
SC
chef de quart - Store# 29743, 2500 BLVD DES LAURENTIDES
Starbucks Coffee Company
Laval, QC
- Full-time
As a Starbucks Shift Supervisor, you will assist the store manager in executing store operations during scheduled shifts. As a team lead, you will deploy partners and delegate tasks to…
Added 10 hours ago
SC
shift supervisor - Store# 17843, HWY 50 & HOPCROFT-BOLTON
Starbucks Coffee Company
Bolton, ON
- Full-time
As a Starbucks Shift Supervisor, you will assist the store manager in executing store operations during scheduled shifts. As a team lead, you will deploy partners and delegate tasks to…

CI Financial

Compliance Officer, Surveillance

Toronto, ON, Canada

The anticipated base salary range for this position is $60,000 to $71,000. · Full-time

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Job details

Pay: The anticipated base salary range for this position is $60,000 to $71,000.
Job type: Full-time
Experience: 2 - 4 years’ experience within Financial Services in sales, support or supervisory role
Posting language: English
Posted: Oct 19, 2026

Original job description

At CI, we see a great place to work as one that is a safe place for everyone to have a voice, where people are empowered to take ownership over meaningful work, where there is an opportunity to grow through stretching themselves, where they can work on innovative products and projects, and where employees are supported and engaged in doing so.

We are currently seeking a Compliance Officer, Surveillance to join our Compliance team. In this role, the successful candidate is expected to monitor client account activity of Assante advisors in accordance with internal procedures and regulatory requirements and to actively provide support to Assante advisors and Branch Managers on surveillance related issues.

WHAT YOU WILL DO

Conduct, monitor and document daily and monthly head office reviews of client account activity with a focus on criteria outlined in CIRO (mutual fund dealer and investment dealer) rules, other regulations, and corporate guidelines and policies
Identify trends developing in trading of specific advisors and/or client accounts with an emphasis on suitability, concentration, potential conflicts of interest and unusual transactions, conducting detailed analysis and escalating concerns to the Manager of Trade Surveillance where necessary
Follow up on inquiries from daily and monthly reviews with advisors and/or branch managers
Prepare weekly summaries of follow up work and ad hoc reports as required
Functions as a key point of contact and a resource on surveillance related inquiries and requests from employees and Branches (including advisors, Branch Managers and support staff)
Compliance officers will also be delegated additional core tasks such as email surveillance, reviewing and maintaining pro-accounts, sales/advertising approvals, and other tasks as warranted, which may also be for additional CI firms
Provide training to new compliance officers and other staff members
Continually evaluate the effectiveness of departmental procedures and participate in developing, maintaining, and implementing changes to the policies and procedures
Work on special projects, as requested

WHAT YOU WILL BRING

University degree or college diploma
Bilingual in English and French, written and verbal is an asset
2 - 4 years’ experience within Financial Services in sales, support or supervisory role
Previous compliance experience in dealership setting (investment dealer or mutual fund dealer) is a definite asset
Strong verbal and written communication skills
PC literate with advanced knowledge of MS Office (Excel, Outlook, PowerPoint and Word)
experience with insurance compliance is an asset
Completion of Canadian Securities Course (CSC) or proficiency to be registered as an investment dealer supervisor
Completion of Conduct and Practices Handbook (CPH)
Completion the Investment Dealer Supervisors Course would be an asset
Ability to work effectively and efficiently in a fast-paced environment
Detail oriented, extremely self-motivated, dedicated and a good team player
Able to handle multiple tasks and priorities effectively

This opportunity is for an existing vacancy with the company. The anticipated base salary range for this position is $60,000 to $71,000. Exact salary depends on several factors such as experience, skills, education, and budget. Salary range may vary based on geographic location. In addition to base salary, this position is eligible for participation in a bonus program. In addition, The Company offers a variety of benefits to eligible employees, including health insurance coverage, wellness programs, life and disability insurance, retirement savings plans, paid leave programs, education-related programs, paid holidays and vacation time, and many others. Many of these benefits are subsidized or fully paid for by the company.

This role follows our in office work model and requires employees to be onsite four days per week to support collaboration and business needs.

CI Financial is an independent company offering global wealth management and asset management advisory services through diverse financial services firms. Since 1965, we have consistently anticipated and responded to the changing needs of investors. We are driven by a commitment to provide individuals and institutions with the highest-quality investments and advice. Our commitment to the highest levels of performance means that whatever their position, CI employees must be comfortable in a fast-paced environment that will stretch them to tap into their highest potential. Employees with a healthy dose of ambition, a desire to commit to a curious mindset for continuous learning, and a willingness to go the extra mile thrive at CI.

A Supportive Environment for Success

We offer an in-office environment, competitive benefits, and a supportive workplace to help our employees thrive both personally and professionally.

WHAT WE OFFER

Modern HQ location within walking distance from Union Station
Training Reimbursement
Paid Professional Designations
Employee Savings Plan (ESP)
Corporate Discount Program
Enhanced group benefits
Parental Leave Top–up program
Paid time off for Volunteering

We are focused on building a diverse and inclusive workforce. If you are excited about this role and are not confident you meet all the qualification requirements, we encourage you to apply to investigate the opportunity further.

Please submit your resume in confidence by clicking “Apply”. Only qualified candidates selected for an interview will be contacted. CI Financial Corp. and all of our affiliates (“CI”) are committed to fair and accessible employment practices and provide reasonable accommodations for persons with disabilities. If you require accommodations in order to apply for any job opportunities, require this posting in an additional format, or require accommodation at any stage of the recruitment process please contact us at accessible.recruitment@ci.com, or call 416-364-1145 ext. 4747.

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More about this job

Responsibilities

Monitor and document client account activity against regulatory requirements and internal policies, identifying trends and potential concerns related to suitability, concentration, conflicts of interest, and unusual transactions. Follow up with advisors and branch managers, prepare reports, support surveillance inquiries, contribute to procedures and training, and complete other compliance reviews and projects.

Requirements

A university degree or college diploma and 2–4 years of financial services experience in a sales, support, or supervisory role are requested; prior dealership compliance experience is an asset. Candidates should have strong communication and Microsoft Office skills, be detail-oriented and able to manage competing priorities, and have completed the Canadian Securities Course and Conduct and Practices Handbook; the Investment Dealer Supervisors Course is an asset.

Skills

Trade Surveillance
Regulatory Compliance
Client Account Monitoring
Suitability Analysis
Risk Assessment
Transaction Analysis
Compliance Reporting
Policy and Procedure Development
Advisor Support
Training
Written Communication
Verbal Communication
Microsoft Excel
Microsoft Outlook
Microsoft PowerPoint
Microsoft Word

Benefits

Health Insurance
Wellness Programs
Life Insurance
Disability Insurance
Retirement Savings Plan
Paid Leave
Education-Related Programs
Paid Holidays
Vacation Time
Training Reimbursement
Employee Savings Plan
Corporate Discount Program
Enhanced Group Benefits
Parental Leave Top-Up
Paid Volunteer Time
Bonus Program

Visa sponsorship

Not detected in the job text

Keywords

Compliance
Trade Surveillance
CIRO Rules
Mutual Fund Dealer
Investment Dealer
Financial Services
Client Account Activity
Suitability
Concentration Risk
Conflicts Of Interest
Unusual Transactions
Email Surveillance
Pro-Accounts
Sales And Advertising Approvals
Regulatory Requirements
Internal Procedures
Corporate Guidelines
Compliance Reporting
Canadian Securities Course
Conduct And Practices Handbook
Microsoft Office
Microsoft Excel
Microsoft Outlook
Microsoft PowerPoint
Microsoft Word
Insurance Compliance
Advisor Support
Branch Management

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