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Senior Regulatory Specialist

1 week ago

London, Ontario, Canada CI Financial Full time

About CI Financial

CI Financial is a leading global wealth management and asset management advisory services company. Our mission is to provide high-quality investments and advice to individuals and institutions.

About the Job

We are currently seeking a Senior Compliance Officer to join our team. In this role, you will be responsible for fostering a culture of compliance within the organization and ensuring that all regulatory requirements are met.

Key Responsibilities

  1. Provide strategic support to the Director, Compliance and Senior Management on Compliance related matters.
  2. Design and implement policies and procedures related to business conduct compliance, trade conduct compliance, and managed account supervision.
  3. Develop, implement, and continuously improve Compliance's related programs, technology, tools, and resources to enable CI's investment firms to meet regulatory requirements and achieve organizational and operational goals.
  4. Lead small to large compliance technology initiatives.
  5. Maintain current knowledge and provide ongoing support to Compliance applications.
  6. Provide guidance and training to Compliance and Operational teams, and sometimes directly to advisors and branch staff.
  7. Test systems to ensure integrity.
  8. Become a subject matter expert on firm's systems.
  9. Complete other duties and projects assigned by Director.

Requirements

  • 5+ years of securities industry experience.
  • Experience with IIROC and MFDA.
  • University or college degree (or equivalent experience).
  • Completed applicable securities industry courses offered by the Canadian Securities Institute.
  • Knowledge and understanding of relevant securities legislation and SRO rules and regulations.
  • Project management experience.
  • Critical thinking skills.
  • Ability to work independently and under pressure.
  • Effective communication and articulation skills.
  • Conflict resolution, organizational, and communication skills.
  • MS Office applications knowledge.
  • Common securities transaction processing systems experience.

Benefits

  • Flexible work arrangements.
  • Professional growth opportunities.
  • Competitive compensation and benefits package.
  • Opportunities for professional development.
  • A dynamic and inclusive work environment.