Bilingual Compliance Officer

2 weeks ago

Toronto, Ontario, 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.

Job Overview

What you will do

  • Ensure that the member firms and all its approved persons (supervisors, officers, directors, portfolio managers, salespersons and branches are properly licensed with CIRO and the appropriate provincial securities commissions and regulators.
  • Manage and maintain accurate and current license/registration information is in firm's internal Associate Database (ensuring that the information its registrants correspond with their permanent record in the NRD system.
  • Develop and maintain an indepth knowledge of regulatory and compliance policies and guidelines and provide the relevant information updates to registrants regarding procedural and regulatory changes.
  • Establish and maintain strong healthy relationships with internal departments and regulators.
  • Ensure that all supporting documents are properly filed for easy access and audit purposes.
  • Be in compliance with internal policies and procedures as well as regulatory requirements.
What you will bring

  • Minimum 2 years' experience with securities registrations working with a CIRO Member Firm (Investment Dealer or Mutual Fund Dealer) and/or Insurance Agency
  • Fully proficient in French.
  • Extremely detailed oriented with strong organizational, time management and analytical skills.
  • Proficient in completing accurate, clear, and concise documentation.
  • Excellent communication skills, both written and verbal.
  • Ability to work independently.
  • Ability to manage highly sensitive, time sensitive and confidential information.
  • Proficient in Computer skills (MS Office and Internet).
  • High School diploma required, postsecondary education or training in business, finance or related discipline would be an asset.
  • Completion of the Canadian Securities Course or basic Mutual Fund Salesperson licensing course would also be an asset.


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.

WHAT WE OFFER- Modern HQ location within walking distance from Union Station- Flexible & Hybrid Work Program- Equipment Purchase Program- Training Reimbursement- Paid Professional Designations- Employee Share Purchase Program (ESPP)- Corporate Discount Program- Enhanced group benefits- Parental Leave Top-up program- Fitness membership discounts- Volunteer paid Days- Complimentary vending machines

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