Financial Compliance Specialist

2 days ago

Toronto, Ontario, Canada CI Financial Full time

At CI Financial, we believe that our work environment should be a safe and inclusive space where everyone has the opportunity to contribute their unique perspective and ideas. We are driven by a commitment to providing individuals and institutions with high-quality investments and advice.

Job Overview

We are currently seeking a Financial Compliance Specialist to join our Compliance team in Toronto. As a key member of our team, you will play a crucial role in conducting branch audits across Canada and facilitating Professional Development Training (PD days) for Assante Branch Managers, Advisors, and staff.

Key Responsibilities:
  • Conduct thorough branch audits to identify and address regulatory compliance deficiencies within the branch environment.
  • Collaborate with Advisors/branches to develop practical solutions designed to foster client trust and help build the Advisor's business.
  • Deliver education/training and implement corrective actions to overcome compliance gaps.
  • Work closely with Branch Managers to support the delivery of ongoing training and education.
  • Create and complete audit reports based on findings and follow up on identified deficiencies.
  • Provide compliance training through PD days and branch meetings.
  • Stay informed about changes to departmental procedures, firm policies, and regulations.
  • Enhance product and compliance knowledge by completing industry courses and participating in seminars.

This is an excellent opportunity to grow professionally while contributing to a dynamic team. The successful candidate will have a strong understanding of securities regulatory authorities and self-regulatory organizations.

Requirements:
  • University degree or equivalent experience.
  • Previous compliance experience in a dealership setting (IIROC or MFDA).
  • 2-4 years' experience in sales, support, or supervisory roles within the Financial Services sector.
  • Strong verbal and written communication skills.
  • Advanced knowledge of MS Office and Canadian Securities Course (CSC).
  • Branch Manager Course would be an asset.
What We Offer:
  • A modern headquarters location near Union Station.
  • A 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.

We value diversity and inclusivity in our workplace and encourage applicants from diverse backgrounds to apply.

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