Compliance Officer, Sales Communications

3 weeks ago

Toronto Ontario, Ontario, Canada CI Financial Full time

JOB OVERVIEW

We are currently seeking a Compliance Officer (6-month contract) to join our Sales Communications team. In this role, the successful candidate is expected to review, supervise and coordinate for approval Assante Advisor advertising, sales literature and correspondence. This involves working directly with the Advisors to support them with their marketing initiatives by ensuring adherence to securities regulatory requirements, internal policies & procedures, and Assante branding and business standards.


WHAT YOU WILL DO

  • Review and coordinate the approval of all client and public oriented advisor sales communications to include but not limited to advertisements, stationery, signage, newsletters, client letters, brochures, presentations, events, websites, social media and other digital advertising.
  • Maintain an exemplary service to Assante Advisors by educating and supporting them and their staff on regulatory and internal policies & procedures, and ensures that their initiatives are consistent with Assante business and brand standards.
  • Ensures that advisors implement required revisions and approval is secured prior to print or electronic dissemination.
  • Acts independently, conducts relevant research and arrives at conclusions and/or Conducts compliance review in a high-quality, risk-based manner.
  • Proactively identifies, investigates, resolves and/or escalates any actual and potential violations of regulatory requirements and internal policies & procedures as they concern creating risk for the advisor, Assante dealers, and the integrity of the Assante brand.
  • Strives to minimize compliance risk, reputational damage, client complaints, civil litigation, and other risk situations.
  • Liaises with internal departments for business, design and branding review in a professional and collaborative manner.
  • Communicates with advisors in a timely and professional manner, and effectively provides direction and recommendations on the appropriate corrective action.
  • Works closely with other Compliance Officers and Compliance Management to secure approvals.
  • Coordinates the tracking and distribution of incoming requests.
  • Maintains accurate internal files and complete records for review and reference in a regulatory and internal audit setting.
  • Maintains a high level of awareness of compliance related changes and developments in the securities industry through the review of publications, participation in industry associations, employee development initiatives, etc.
  • Completes other duties and projects as assigned from time to time including, but not limited to, acting as back-up to colleagues.


WHAT YOU WILL BRING

  • 2 or more years working at a securities dealer, mutual fund dealer or a financial industry related firm, preferably in a similar role.
  • 1-2 years of financial industry experience
  • University degree or college diploma in a relevant subject area or equivalent work experience.
  • CSC, CPH, and IDSC (Branch Manager Course) are an asset, or willingness to complete these courses.
  • Excellent written and verbal business communication skills.
  • Capable of simultaneously handling multiple tasks and meeting stringent deadlines in a fast paced and high-volume environment.
  • Superior planning, organizational and time-management skills.
  • Strong analytical skills and a keen eye for detail.
  • Ability to work independently with minimal supervision.
  • Proficiency in Microsoft Office (Word, PowerPoint, Excel).
  • Good knowledge of other software applications (Adobe Acrobat, Nitro Pro), the internet and social media.
  • Solid understanding of the financial advisory business.
  • Knowledge, understanding, and the practical application of relevant provincial securities and SRO, CIRO (MFDA, IIROC, AMF, Exchanges) rules and regulations and other applicable regulatory requirements.
  • Ability to interpret and apply business, compliance and regulatory guidelines.
  • Ability to recognize and handle sensitive and confidential information
  • Self-motivated, confident and capable of working both independently and in a team environment with a commitment to continuous improvement.
  • Bilingualism in French and English is an asset.

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