Compliance Officer

3 months ago

Toronto ON, Canada CI Financial Full time

JOB OVERVIEW We are currently seeking a Senior Compliance Officer, CI Wealth Compliance. In this role, the successful candidate is expected to encourage and foster a culture of compliance within the organization in accordance with securities industry rules and regulations. The incumbent will be responsible for assisting Compliance management with policy and procedures, compliance technology, and regulatory initiatives at CI's various wealth companies, including its investment firms registered provincially or under the Canadian Investment Regulatory Organization (CIRO).


Provide strategic support to the Director, Compliance and Senior Management in Compliance on Compliance related matters.
Provide strategic input on the design, development and launch of policies and/or procedures related to business conduct compliance, trade conduct compliance and managed account supervision.
Support the development, implementation and continuous improvement of Compliance’s related programs, technology, tools and resources designed to enable CI's investment firms to meet its regulatory requirements and achieve organizational and operational goals.
Act as lead on small to large compliance technology initiatives.
Maintain current knowledge and provide ongoing support to Compliance applications.
Provide guidance and training to Compliance and Operational teams, and sometimes directly to advisors and branch staff.
Testing to ensure system integrity.
Complete other duties and projects as may be assigned by Director.

Previous project management experience considered a strong asset
Extensive knowledge of MS Office applications including as Word, Excel, Power Point and Outlook
Training & Development

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