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Regulatory Compliance Expert

1 week ago

Ottawa, Ontario, Canada CI Financial Full time

About Us:

Ci Financial is a global leader in wealth management and asset management advisory services, serving diverse financial services firms and investors. Our commitment to delivering exceptional service and meeting evolving client needs has earned us a reputation as a trusted partner in the financial services industry.

 

We are currently seeking an experienced Senior Compliance Officer to join our Compliance team at CI Wealth Compliance. As a key member of our team, you will play a pivotal role in promoting a culture of compliance within our organization, ensuring alignment with securities industry rules and regulations.

 

Your Key Responsibilities:

  • Provide strategic support to Compliance Management on policy and procedure development, compliance technology initiatives, and regulatory requirements
  • Maintain current knowledge of compliance applications and provide ongoing support
  • Act as lead on small to large compliance technology initiatives
  • Contribute to the design, development, and launch of policies and procedures related to business conduct compliance, trade conduct compliance, and managed account supervision

 

You Will Bring:

  • Minimum 5 years' experience in the securities industry
  • Experience with IIROC and MFDA regulations
  • 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
  • Extensive knowledge of MS Office applications