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Compliance Expert

1 week ago

London, Ontario, Canada CI Financial Full time

About CI Financial

CI Financial is a global wealth management and asset management advisory services company. Since 1965, we have consistently anticipated and responded to the changing needs of investors.

We are driven by a commitment to provide individuals and institutions with the highest-quality investments and advice.

About the Role

We are seeking a Senior Compliance Officer to join our team. As a Senior Compliance Officer, you will be responsible for assisting Compliance management with policy and procedures, compliance technology, and regulatory initiatives at CI's various wealth companies.

Key Responsibilities

  • Provide strategic support to the Director, Compliance and Senior Management in Compliance on Compliance related matters.
  • Provide strategic input on the design, development and launch of policies and/or procedures related to business conduct compliance, trade conduct compliance and managed account supervision.
  • Support the development, implementation and continuous improvement of Compliance's related programs, technology, tools and resources designed to enable CI's investment firms to meet its regulatory requirements and achieve organizational and operational goals.
  • Act as lead on small to large compliance technology initiatives.
  • Maintain current knowledge and provide ongoing support to Compliance applications.
  • Provide guidance and training to Compliance and Operational teams, and sometimes directly to advisors and branch staff.
  • Testing to ensure system integrity.
  • Be a subject matter expert on firm's systems.
  • Complete other duties and projects as may be assigned by Director.

Requirements

  • Minimum 5 years securities industry experience.
  • Experience with IIROC and MFDA.
  • University or college degree (or equivalent experience).
  • Completion of applicable securities industry courses offered by the Canadian Securities Institute including Canadian Securities Course and Conduct and Practices Handbook, Supervision courses.
  • Demonstrated knowledge and understanding of the 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.
  • Strong conflict resolution, organizational, and communication skills.
  • Extensive knowledge of MS Office applications including Word, Excel, Power Point and Outlook.
  • Familiarity and experience working with common securities transaction processing systems.

About CI's Culture

Ci Financial is an independent company offering global wealth management and asset management advisory services through diverse financial services firms.

We believe that our people are our greatest asset, and we strive to create a culture where everyone has a voice, feels empowered, and can grow through meaningful work.

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.