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Senior Compliance Officer, Branch Audit

2 months ago

Toronto, Ontario, Canada CI Financial Full time

Job Overview

We are seeking a highly skilled Compliance Specialist to join our Compliance team at CI Financial. In this role, the successful candidate will be responsible for conducting branch audits across Canada and facilitating branch Professional Development Training (PD days) presenting compliance topics to Assante Branch Managers, Advisors and staff.

Key Responsibilities

  • Travel to assigned Assante Branches and identify, address and overcome regulatory compliance deficiencies within the branch environment.
  • Help Advisors/branches solve problems and implement solutions designed to foster client trust and help build the Advisor's business.
  • Help Advisors/branches identify regulatory deficiencies and correct compliance gaps through the delivery of education/training and practical solutions to their business objectives.
  • Work closely with Branch Managers to support the delivery of ongoing training and education.
  • Create and complete audit reports based on audit findings and follow up on deficiencies identified in the reports.
  • Provide compliance training through Professional Development Training (PD days) and branch meetings.
  • Stay up-to-date with changes to departmental procedures, firm policies, in-house compliance and supervisory manuals and rules, regulations and requirements of securities regulatory authorities and self-regulatory organizations of which Assante's dealer member firms are members.
  • Continuously improve product and compliance knowledge by completing industry courses, participating in seminars, workshops and conferences, proactively reading internal publications, industry news and media releases, and sharing information and ideas with peers.
  • The role is based in Toronto but will require travel to branches (30%-40% travel).

Requirements

  • University degree/college diploma/ or equivalent experience
  • Previous compliance experience in dealership setting (IIROC or MFDA)
  • 2 - 4 years' experience within Financial Services in sales, support or supervisory role
  • Strong verbal and written communication skills
  • PC literate with advanced knowledge of MS Office (Excel, Outlook, PowerPoint and Word)
  • Canadian Securities Course (CSC) and the Conduct and Practices Handbook (CPH)
  • Branch Manager Course would be an additional asset at hiring or recommendation for candidate to complete