Compliance Officer
4 weeks ago
At CI Financial, we strive to create a work environment that fosters growth, innovation, and collaboration. We are seeking a Compliance Officer to join our team, responsible for conducting compliance tasks in accordance with internal procedures and regulatory requirements.
Key Responsibilities:
- Approve pre-clearance requests from registrants.
- Onboard new registrants to Ptrade.
- Review external statements for registrants from multiple entities within CI Wealth Management, and report the results on a monthly, quarterly, and yearly basis.
- Review gifts and entertainments requests and report the results on a monthly basis.
- Follow up with other institutions if there is no statement received during the month/quarter for registrants.
- Follow up with registrants to ensure their external trading accounts information is up-to-date and follow up if they have not uploaded their statements during the month.
- Conduct daily compliance tasks such as internal transfer, error account, inventory account, daily capital exposure, etc.
Requirements:
- University degree or equivalent experience.
- Previous compliance experience in investment dealer is an asset.
- Strong verbal and written communication skills.
- Completion of CSC and CPH is an asset.
- Excellent communication skills and ability to work collaboratively with compliance teams.
- Strong analytical mindset and detail-oriented.
- Ability to work independently and under pressure.
- Able to handle multiple tasks and priorities effectively.
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.
What We Offer:
- Modern HQ location within walking distance from Union Station.
- Flexible & 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.
We are focused on building a diverse and inclusive workforce. If you are excited about this role and are not confident you meet all the qualification requirements, we encourage you to apply to investigate the opportunity further.
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