Compliance Officer

6 days ago

Old Toronto, Canada CI Financial Company Full time

At CI Financial Company, we believe in fostering an inclusive work environment where employees can thrive. Our team is dedicated to providing meaningful work opportunities that empower individuals to grow professionally and personally.

Job Overview

We are seeking a highly skilled Compliance Officer to join our team. As a key member of our compliance program, you will assist in ensuring adherence to regulatory requirements and industry standards for the Investment Fund Manager and Exempt Market Dealer.

  • You will apply policies and regulatory rules to respond to compliance-related inquiries, providing expert advice and guidance.
  • Assist in creating and documenting new processes and procedures for compliance initiatives and controls, ensuring adherence to securities law and National Instrument rules.
  • Develop new policies and guidelines to reflect changing regulatory/industry standards or corporate developments.
  • Participate in special projects as needed, leveraging your analytical skills and expertise.
  • You will support the review of sales communication materials, including advisor and investor-facing content, website content, product profile sheets, and sales practice policy and guidelines.
Requirements

To be successful in this role, you will need:

  • A thorough understanding of National Instruments 81-102, 81-105, and other relevant regulations.
  • A minimum of three years of experience in a mutual fund manager compliance department.
  • Superior analytical skills, with the ability to advise on a range of compliance matters.
  • Proficient in using software such as Salesforce, Concur, and Tableau.
  • Experience in providing training to large groups of sales staff.
  • A Post-secondary education plus Canadian Securities Course (CSC), Conduct and Practices Handbook (CPH), or other industry-related designations.

As a valued member of our team, you can expect:

  • A competitive salary range of $80,000-$110,000 per year, depending on experience.
  • A hybrid work environment offering flexibility and work-life balance.
  • Training reimbursement and access to professional development opportunities.
  • A comprehensive benefits package, including health and dental insurance, retirement savings plan, and employee assistance program.
About Us

CI Financial Company is committed to building a diverse and inclusive workforce. We welcome applications from qualified candidates who share our values and commitment to excellence. If you require accommodations during the application process, please contact us at accessible.

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