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Compliance Regulatory Expert
2 months ago
At CI Financial, we offer a unique work environment that values employee growth and development.
Job OverviewThis role is part of the Enterprise Compliance Team, responsible for developing, enhancing, and maintaining our Enterprise Compliance programs. Key responsibilities include reporting, data analysis, regulatory compliance management, and issue resolution. The successful candidate will assist senior team members in administrative and project-related tasks.
Key Responsibilities:
- Create and document new processes and procedures for compliance initiatives and controls.
- Develop and maintain policies reflecting changing regulatory standards or corporate developments.
- Apply policies and regulatory rules to respond to compliance inquiries from business units.
- Support the development of management reporting, including KPIs and metrics based on existing data.
- Investigate potential and/or actual compliance issues, escalating them according to standardized processes.
- Assist with quarterly reporting processes and internal reporting obligations.
- Evaluate investment strategies for adherence to applicable fund rules and regulations.
- Coordinate RFP and due diligence questionnaires for Institutional business.
- Participate in special projects as needed.
To succeed in this role, you will require:
- Post-secondary education plus industry-related designations (or working towards).
- In-depth knowledge of the financial industry, including investment fund regulations.
- A minimum of 5 years of relevant experience in senior compliance roles at an investment management firm.
- Strong communication skills, both verbal and written.
- Superior analytical skills, capable of advising across a range of compliance matters.
- Proficiency in MS Office, with experience in MS Excel.
- Ability to multi-task in a fast-paced environment.
We offer a competitive compensation package, including:
- $85,000 - $110,000 per year.
- A modern HQ location near Union Station.
- Flexible work arrangements.
- Equipment purchase program.
- Training reimbursement.
- Employee share purchase plan.
- Corporate discount program.
- Enhanced group benefits.
- Parental leave top-up program.
- Volunteer paid days.
Ci Financial is an independent company providing global wealth management and asset management advisory services through diverse financial services firms. We strive to deliver exceptional results and foster a culture of continuous learning and growth.
