Compliance Risk Manager, Branch Audit

2 weeks ago


Toronto, Ontario, Canada CI Financial Full time

At CI Financial, we pride ourselves on being a dynamic and supportive work environment that fosters growth and innovation. We are seeking a highly skilled Compliance Risk Manager, Branch Audit to join our team in Toronto.

About the Role

  • As a key member of our Compliance team, you will be responsible for conducting thorough branch audits across Canada, identifying regulatory compliance deficiencies, and implementing solutions to address these issues.
  • You will travel to assigned Assante branches, working closely with Branch Managers to support the delivery of ongoing training and education.
  • Your expertise will help Advisors/branches solve problems, foster client trust, and build their business.
  • You will create and complete audit reports based on findings, following up on deficiencies identified.
  • Additionally, you will provide compliance training through Professional Development Training (PD days) and branch meetings.
  • Staying up-to-date on changes to departmental procedures, firm policies, and regulatory requirements is essential for this role.
  • You will also continually improve your product and compliance knowledge by completing industry courses, participating in seminars, workshops, and conferences.

Requirements

  • A university degree or college diploma, or equivalent experience.
  • Previous compliance experience in a dealership setting (IIROC or MFDA).
  • 2-4 years' experience within Financial Services in sales, support, or supervisory roles.
  • Strong verbal and written communication skills.
  • Advanced PC literacy, with expertise in MS Office (Excel, Outlook, PowerPoint, and Word).
  • Certifications: Canadian Securities Course (CSC) and Conduct and Practices Handbook (CPH). A Branch Manager Course would be an asset.

About CI Financial

We are an independent company offering global wealth management and asset management advisory services through diverse financial services firms. Since 1965, we have consistently anticipated and responded to the changing needs of investors.

What We Offer

  • A modern HQ location within walking distance from Union Station.
  • A flexible and hybrid work program.
  • An equipment purchase program.
  • Training reimbursement.
  • Paid professional designations.
  • The employee share purchase program (ESPP).
  • A corporate discount program.
  • Enhanced group benefits.
  • A parental leave top-up program.
  • Fitness membership discounts.
  • Volunteer paid days.
  • Complimentary vending machines.

We value diversity and inclusion, and if you're excited about this role, we encourage you to apply, even if you don't meet all the qualifications.



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