Senior Compliance Officer

2 days ago

Toronto, Ontario, Canada CI Financial Full time
Job Title: Senior Compliance Officer

CI Financial is seeking a highly skilled Senior Compliance Officer to join our team. As a key member of our Compliance department, you will play a critical role in ensuring our organization's compliance with securities industry rules and regulations.

Key Responsibilities:
  • Provide strategic support to the Director, Compliance and Senior Management on Compliance-related matters.
  • Design, develop, and launch policies and 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.
  • 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.
  • Test system integrity and be a subject matter expert on firm's systems.
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.
  • 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.
  • Familiarity and experience working with common securities transaction processing systems.
What You Can Expect from CI:
  • Our dedication to the Employee Experience at CI is aimed at supporting, empowering, and inspiring our talented team through recognition and compensation, training and development, health and well-being, communication, and feedback.

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