Senior Compliance Officer, Branch Audit

4 weeks ago

Toronto, Ontario, Canada CI Financial Full time
Job Overview

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

Key Responsibilities
  • Travel to assigned Assante Branches to identify, address, and overcome regulatory compliance deficiencies within the branch environment.
  • Help Advisors/branches solve problems and implement solutions to foster client trust and build the Advisor's business.
  • Help Advisors/branches identify regulatory deficiencies and correct compliance gaps through education/training and practical solutions.
  • 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.
  • Provide compliance training through PD days and branch meetings.
  • Stay up-to-date with changes to departmental procedures, firm policies, in-house compliance, and regulatory requirements.
  • Continuously improve product and compliance knowledge through industry courses, seminars, and conferences.
  • The role is based in Toronto with 30-40% travel.
Requirements
  • University degree or college diploma or equivalent experience.
  • Previous compliance experience in a dealership setting (IIROC or MFDA).
  • 2-4 years' experience in Financial Services in sales, support, or supervisory roles.
  • Strong verbal and written communication skills.
  • PC literate with advanced knowledge of MS Office.
  • Canadian Securities Course (CSC) and Conduct and Practices Handbook (CPH).
  • Branch Manager Course would be an asset.
What We Offer
  • Modern HQ location within walking distance from Union Station.
  • Flexible and 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.
About CI Financial

CI Financial is an independent company offering global wealth management and asset management advisory services through diverse financial services firms. We are driven by a commitment to provide individuals and institutions with the highest-quality investments and advice. Our commitment to performance means that our employees must be comfortable in a fast-paced environment that will stretch them to tap into their highest potential.

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