Compliance Officer, Registrations

2 weeks ago

Toronto, 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:
We are currently seeking a Compliance Officer, Registrations (Insurance & Continuing Education) to join our Compliance/Registrations Department.

The Registration Department is responsible for the management / administration of licensing and registration for the affiliated member firms of CI Financial registered with the Canadian Investment Regulatory Organization (CIRO), the national self-regulatory organization that oversees all investment dealers, the provincial securities commissions, the Autorite des Marches Financiers (AMF), provincial insurance councils and where applicable US State Securities Regulators. Registration Officers facilitate all aspects of registration/licensing for individuals and all member firms.

With respect to Continuing Education the Compliance Officer will be responsible for ensuring that Approved Persons of the firm(s) meet their Continuing Education (CE) obligations imposed by CIRO and the AMF and avoid regulatory penalties (Registrant suspensions and fines)

WHAT YOU WILL DO:

- Obtain agent, agency and corporate insurance license for individual agents, and corporations.
- Track insurance licensing renewal dates and work with representatives to ensure timely renewal of licenses and compliance with CE requirements.
- Maintain accurate insurance licenses in the firm’s internal database and the National Registration Database system.
- Keep abreast of provincial insurance/compliance laws and changes.
- Communicate regulatory changes and/or requirements to the various stakeholders.
- Prepare internal CE activity materials for assessment for CIRO CE credits and other regulatory body CE credits, where appropriate.
- Add CE accreditation results and track third-party CE credits accumulated by the registrants on an internal database (AADB).
- Screen and evaluate content submitted by internal clients to determine if is applicable/acceptable for CE Credits
- Report CE completions for registrants on the various online reporting systems (CIRO/IIROC Services; CE Reporting and Tracking System - ‘CERTS’)
- Work with event team to issue credits for the firm’s large accredited corporate events.
- Maintain accurate files on Outlook as well as within the Registration Department’s online shared folders.
- Maintain and update the CE Policies and Procedures.
- Track and report on CE credit submissions, including monitoring volume, costs and identify any changes in requirements or regulations impacting submissions.
- Pull data feeds, update spreadsheets, and post information on internal sites.

WHAT YOU WILL BRING:

- Minimum 2 years’ experience with insurance licensing and securities registrations working with various Insurance Agencies and/or CIRO Member firms
- 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, post-secondary education or training in insurance business, finance or related discipline would be an asset
- Completion of the LLQP or Insurance 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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