Compliance Manager
5 months ago
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
- Create and document new processes and procedures for new compliance initiatives and controls, ensuring applicable securities laws and National Instrument rules are adhered to.
- Create, communicate and maintain policies to reflect new or changing regulatory/ industry standards or corporate developments.
- Assist in the development of management reporting, including the development and reporting of KPIs and Metrics based existing data and designing systems to collect data.
- Review and investigate potential and/or actual compliance issues as they arise and escalating issues in alignment with standardized processes and procedures.
- Support quarterly reporting processes and support the Chief Compliance Officer with internal reporting obligations.
- Assess various investment strategies for adherence to applicable investment fund rules and regulations.
- Coordinate the completion of RFP and due diligence questionnaires for CI' s Institutional business.
- Participates in special projects, as needed.
WHAT YOU WILL BRING
- Post-secondary education plus CPA or other industry related designations (or working towards);
- In depth knowledge of the financial industry including investment fund regulations and applicable National Instruments; and
- Minimum of 5 years of relevant industry experience in a senior compliance capacity at an investment management firm.
- Strong communication skills, verbal and written.
- Superior and versatile analytical skills, capable of advising across a range of compliance matters.
- Strong technical skills including MS Office, experience with MS Excel a must.
- Ability to multi-task and work effectively and efficiently in a fast-paced, frequently changing environment.
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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