Regulatory Compliance Specialist
2 weeks ago
Company Overview
C I Financial Company is a leading provider of financial services, committed to delivering exceptional value to our clients and stakeholders.
About the Role
We are seeking an experienced Regulatory Compliance Specialist to join our Compliance team. In this role, you will be responsible for conducting compliance tasks in accordance with internal procedures and regulatory requirements.
Key Responsibilities
- Conduct daily, weekly, monthly, and quarterly compliance tasks as per internal procedures and regulatory requirements.
- Monitor and respond to inquiries in the compliance email box and Salesforce compliance folder.
- Collaborate with other compliance staff and assist with inquiries related to regulatory reporting, AML monitoring, etc.
- Follow up with the operations team on service complaints.
- Work on special projects as assigned.
Requirements
- Prior experience in compliance within the investment dealer industry is highly valued.
- Completion of CSC and CPH certifications is an asset.
- Excellent communication skills and ability to work collaboratively with compliance teams.
Benefits
- Modern headquarters 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
Compensation Package
We offer a competitive salary range of $65,000 - $85,000 per year, depending on experience, as well as opportunities for growth and professional development.
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