Compliance Officer

1 week ago

Toronto, Ontario, Canada CI Financial Full time
{"title": "Senior Compliance Officer", "content": "Job Overview

We are seeking a Senior Compliance Officer to foster a culture of compliance within our organization, adhering to securities industry rules and regulations. The successful candidate will assist Compliance management with policy and procedures, compliance technology, and regulatory initiatives at CI's various wealth companies.

Key Responsibilities
  • Provide strategic support to the Director, Compliance and Senior Management on Compliance-related matters.
  • Contribute to the design, development, and launch of policies and procedures related to business conduct compliance, trade conduct compliance, and managed account supervision.
  • Support the development, implementation, and continuous improvement of Compliance's related programs, technology, tools, and resources to meet regulatory requirements and achieve organizational goals.
  • Lead small to large compliance technology initiatives.
  • Maintain current knowledge and provide ongoing support to Compliance applications.
  • Provide guidance and training to Compliance and Operational teams, and sometimes directly to advisors and branch staff.
  • Ensure system integrity through testing.
  • Be a subject matter expert on firm's systems.
  • Complete other duties and projects as assigned by Director.
Requirements
  • Minimum 5 years securities industry experience.
  • Experience with IIROC and MFDA.
  • University or college degree (or equivalent experience).
  • Completion of applicable securities industry courses offered by the Canadian Securities Institute.
  • Demonstrated knowledge and understanding of relevant securities legislation and SRO rules and regulations.
  • Previous project management experience considered a strong asset.
  • Strong critical thinking skills.
  • Ability to work independently and under pressure.
  • Effective communication and articulation skills.
  • Strong conflict resolution, organizational, and communication skills.
  • Extensive knowledge of MS Office applications.
  • Familiarity and experience working with common securities transaction processing systems.
What We Offer
  • Recognition and compensation.
  • Training and development opportunities.
  • Health and well-being programs.
  • Open communication and feedback.
", "lang_code": "en-US"}

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