Compliance Officer, Complaints

7 months 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

This role will ensure all assigned complaints, privacy incidents, internal or regulatory investigations (“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
- Ensure all assigned Reportable Matters are logged on the CRI Team Database and the status is up to date with any pertinent information or resolution.- Prepare an internal investigation report following internal standards for each Reportable Matter as required by CRI Incident and Complaint Handling 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, recommended sanctions, supporting documentation and Investigating Officer’s comments.- Draft substantive response letters in the proscribed format in accordance with the CRI Incident and Complaint Handling Policy outlining the entities final position and forward to the Director of the CRI Team or designated Senior Compliance Officer 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.- Monitor and report areas of risk to the Director of the CRI team that are discovered in the course of handling Reportable Matters.

WHAT YOU WILL BRING
- Post-secondary education
- Five or more years of relevant investment industry experience dealing with an CIRO member firm or Investment Fund Company
- Strong verbal and written communication skills in English.
- Current knowledge of: regulations including relevant National Instruments; CIRO 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.
- Completion or progress toward industry related designations such as Canadian Securities Course (CSC), or the Conduct and Practices Handbook (CPH), is considered an asset
- Ability to multi-task and work effectively and efficiently in a fast-paced, frequently changing environment
- 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).

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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