Compliance Officer, Complaints and Regulatory Investigations

Compliance Officer, Complaints and Regulatory Investigations – Contract 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. The CI Complaints and Regulatory Investigation (“CRI”) Team is currently seeking a Compliance Officer. The successful candidate is expected to encourage and foster a culture of compliance within the organization in accordance with our policies and procedures, securities industry rules and regulations. The successful candidate will be responsible for assisting the CRI Team with the handling of all assigned complaints, internally identified concerns, internal or regulatory investigations (“Reportable Matter”), and ensuring they are handled in a fair, transparent, objective, and factual manner in accordance with the policy and procedures and regulatory requirements of CI's various entities, including its wealth and asset management firms, registered provincially and/or under the Canadian Investment Regulatory Organization (CIRO). What you will do Assist with the administrative handling and filing throughout the Reportable Matter investigation process, including preparation of the Reportable Matter Investigation file and creation of the electronic Reportable Matter file where all documentation and communications will be maintained within the CRI SharePoint. Prepare inquiries and requests for information from stakeholders promptly. Support the CRI Investigating Officers with researching documentation, requesting and reviewing relevant data, liaising with stakeholders to contribute to the delivery of the Reportable Matter Investigation Analysis. Draft CRI response correspondence (Acknowledgement Letters, Substantive Response Letters, Cover Letters, Settlement Letters, Claim Forms). Conclude, close and file Reportable Matter cases. Monitor, document and track open inquiries, issues, and timelines related to all assigned Reportable Matters and provide updates to stakeholders for possible issue management/escalation. Conduct a quality review to ensure all Reportable Matter files comply with the CRI Incident and Complaint Handling Policy and regulatory requirements, supporting the closing of the files. Assist with daily monitoring, handling and answering inquiries in the various CRI email inboxes. Provide support to CRI Team’s management on Reportable Matter handling and ad‑hoc projects, other compliance tasks, or duties. Liaise with Agents, Branch Managers, Compliance Management, Legal Department, Executive Management Group, CIRO, and other regulatory and insurance business partners to assist with the resolution of Reportable Matters, as appropriate. What you will bring Post‑secondary education, university degree or equivalent experience. 5+ years of relevant investment industry experience dealing with a CIRO member firm or Investment Fund Company. Progress toward or completion of industry‑related designations such as Canadian Securities Course (CSC) or Conduct and Practices Handbook (CPH) is 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. Proficiency with MS Office (Excel, Outlook, PowerPoint and Word). Experience in operations and service support, and data processes is an asset. Strong analytical mindset and attention to detail. Strong communication skills, verbal and written. Ability to work both collaboratively and autonomously. Ability to handle multiple tasks and priorities effectively. Experience reviewing and applying CIRO (ID and MFD divisions) or National Instruments compliance requirements is an asset. Experience managing complaints and investigations, preferably across different registration categories, is an asset. What we offer Modern HQ location within walking distance from Union Station. Training reimbursement. Paid professional designations. Employee savings plan (ESP). Corporate discount program. Enhanced group benefits. Parental leave top‑up program. Paid time off for volunteering. CI Financial Corp. 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 to apply for any job opportunities, or at any stage of the recruitment process, please contact accessible.recruitment@ci.com or call 416‑364‑1145 ext. 4747. #J-18808-Ljbffr