Senior Compliance Officer, Branch Audit

2 weeks ago

Toronto, Ontario, Canada CI Financial Full time

At CI Financial, we are committed to fostering a workplace where everyone has a voice, is empowered to take ownership of meaningful work, and has opportunities to grow through challenging projects. We are seeking a Senior Compliance Officer, Branch Audit to join our Compliance team.

Key Responsibilities:

  • Conduct branch audits across Canada to identify and address regulatory compliance deficiencies.
  • Facilitate branch Professional Development Training (PD days) to present compliance topics to Assante Branch Managers, Advisors, and staff.
  • Travel to assigned Assante Branches to 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 supervisory manuals, as well as securities regulatory authorities and self-regulatory organizations.
  • Continuously improve product and compliance knowledge by completing industry courses, participating in seminars, workshops, and conferences, and sharing information with peers.

Requirements:

  • University degree/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 (Excel, Outlook, PowerPoint, and Word).
  • Canadian Securities Course (CSC) and Conduct and Practices Handbook (CPH).
  • Branch Manager Course would be an asset.

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 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.

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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