Compliance Officer

7 hours ago

Old Toronto, Ontario, Canada CI Financial Company Full time
Compliance Officer Job Description

At CI Financial Corp., we strive to create a workplace that is inclusive, empowering, and supportive. As a Compliance Officer, you will play a vital role in ensuring our company's compliance with regulatory requirements and internal procedures.

Key Responsibilities:

  • Conduct daily, weekly, monthly, and quarterly compliance tasks in accordance with internal procedures and regulatory requirements.
  • Perform quarterly trade desk reviews to ensure adherence to regulatory guidelines.
  • Monitor and respond to compliance-related inquiries through our email box and Salesforce compliance folder.
  • Approve transfer out requests and EFT/wire out requests, ensuring compliance with regulatory requirements.
  • Collaborate with other compliance staff to address inquiries related to regulatory reporting, AML monitoring, and other compliance matters.
  • Approve pre-clearance requests from registrants and review external statements to ensure compliance.
  • Follow up with the operations team on service complaints to ensure timely resolution.
  • Review and approve monthly statement releases to ensure accuracy and compliance.
  • Participate in special projects as assigned by management.

Requirements:

  • University degree or equivalent experience.
  • 2-4 years of experience in the financial services industry.
  • Previous compliance experience in investment dealing is an asset.
  • Strong verbal and written communication skills.
  • Completion of CSC and CPH is an asset.
  • Excellent communication skills and ability to work collaboratively with compliance teams.
  • Strong analytical mindset and attention to detail.
  • Ability to work independently and under pressure.
  • Able to handle multiple tasks and priorities effectively.

What We Offer:

  • Modern headquarters location within walking distance from Union Station.
  • Flexible and 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.

We are committed to building a diverse and inclusive workforce. If you are excited about this role and believe you have the skills and experience required, we encourage you to apply. Please submit your resume in confidence by clicking "Apply". Only qualified candidates selected for an interview will be contacted.

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