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Compliance Officer, Complaints

3 months ago

Toronto Ontario, Ontario, Canada CI Financial Full time

JOB OVERVIEW

The Compliance Officer, Complaints will ensure all assigned complaints, internally identified concerns, internal or regulatory investigations, and privacy incidents (“Reportable Matters”) are handled in a fair, transparent, objective, and factual manner in accordance with the Complaints and Regulatory Investigation (“CRI”) Team policy and regulatory guidelines.'


WHAT YOU WILL DO

  • Complete an assessment of Reportable Matters to determine if the involvement of the CRI Team is required, in accordance with the CRI Team policy.
  • Report valid complaints within the prescribed timelines to CIRO (Investment Dealer and Mutual Fund Dealer divisions) and/or AMF through their respective reporting systems and continue to manage the regulatory filing status throughout the handling process.
  • Prepare an internal investigation report for each Reportable Matter, as required by CRI Team policy, that includes a summary of the facts, nature of the incident, previous/related issues, mitigating and/or aggravating factors, involved parties’ comments, an assessment of potential liability, and Investigating Officer’s comments and recommended sanctions.
  • Draft substantive response letters in accordance with the CRI Team policy outlining the entities final position and submit the documents to the Vice President, Compliance and/or the Manager, Complaints and Regulatory Investigations for review for review.
  • Liaise with Agents, Branch Managers, Compliance Management, Legal Department, Executive Management Group, CIRO, and other regulatory and insurance business partners to resolve Reportable Matters, as appropriate.
  • Ensure all files assigned include all necessary elements to comply with CRI Incident and Complaint Handling Policy and regulatory requirements for complaint and investigation files.


WHAT YOU WILL BRING

  • Post-secondary education plus Canadian Securities Course (CSC), the Conduct and Practices Handbook (CPH) or other industry related designations.
  • 5+ or more years of relevant investment industry experience dealing with a CIRO member firm or Investment Fund Company.
  • Completion or progress toward industry related designations such as Canadian Securities Course (CSC), or the Conduct and Practices Handbook (CPH), is considered an asset.
  • Current knowledge of: regulations including relevant National Instruments; CIRO ID and MFD, and other SRO Rules, Policies and Regulatory Notices; CSA National and Multilateral Instruments; applicable provincial and territorial securities rules and regulations; and federal and provincial privacy legislation.
  • Strong communication skills, verbal and written.
  • Experience reviewing and applying CIRO (ID and MFD divisions) or National Instruments compliance requirements.
  • Experience managing complaints and investigations, preferably across different registration categories considered an asset.
  • PC literate with advanced knowledge of MS Office (Excel, Outlook, PowerPoint and Word).