Compliance Officer

4 weeks ago

Toronto ON, Canada CI Financial Full time

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 Senior Compliance Officer, Portfolio Compliance to join our Compliance team. In this role, the successful candidate will have subject matter expertise of Charles River including setting up pre-trade and post-trade compliance rules across all investment classes, coding rules, developing appropriate CRD policies and procedures. The candidate is expected to assist Portfolio Management Compliance with responding to alerts, testing, coding and documenting any applicable changes. The job will involve working with large data sets sourced both internally and from market analytics providers such as Bloomberg. The individual will also be responsible for providing data and analytics support on an ad hoc basis.


Code rules to reflect mandate requirements, new products, rule changes or revisions, ensuring applicable securities laws and National Instrument rules are adhered to
Analyze requirements and take ownership of implementation of Charles River changes
Apply policies and regulatory rules to respond to compliance related inquiries
Participate and lead special projects, as needed
Expert level Charles River experience and/or other coding experience (SQL)
Experience working in a compliance function at a portfolio management or investment management firm in Canada
Excellent project management, critical thinking and interpersonal skills
Superior analytical skills, capable of advising across a range of compliance matters
Expert MS Excel, Bloomberg and SQL skills
Post-secondary education in a related field (i.e. finance, mathematics or other related specialization)
CI Financial is an independent company offering global wealth management and asset management advisory services through diverse financial services firms. 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. Flexible & Hybrid Work Program
Training Reimbursement
Corporate Discount Program
We are focused on building a diverse and inclusive workforce. 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.

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