Compliance Officer, Sales Communications

At CI, we see a great place to work as one that is a safe place for everyone to have a voice, where people are empowered to take ownership over meaningful work, where there is an opportunity to grow through stretching themselves, where they can work on innovative products and projects, and where employees are supported and engaged in doing so.

JOB OVERVIEW

WHAT YOU WILL DO
- Review and coordinate the approval of all client and public oriented advisor sales communications to include but not limited to advertisements, stationery, signage, newsletters, client letters, brochures, presentations, events, websites, social media and other digital advertising.
- Maintain an exemplary service to Assante Advisors by educating and supporting them and their staff on regulatory and internal policies & procedures, and ensures that their initiatives are consistent with Assante business and brand standards.
- Ensures that advisors implement required revisions and approval is secured prior to print or electronic dissemination.
- Acts independently, conducts relevant research and arrives at conclusions and/or Conducts compliance review in a high-quality, risk-based manner.
- Proactively identifies, investigates, resolves and/or escalates any actual and potential violations of regulatory requirements and internal policies & procedures as they concern creating risk for the advisor, Assante dealers, and the integrity of the Assante brand.
- Strives to minimize compliance risk, reputational damage, client complaints, civil litigation, and other risk situations.
- Liaises with internal departments for business, design and branding review in a professional and collaborative manner.
- Communicates with advisors in a timely and professional manner, and effectively provides direction and recommendations on the appropriate corrective action.
- Works closely with other Compliance Officers and Compliance Management to secure approvals.
- Coordinates the tracking and distribution of incoming requests.
- Maintains accurate internal files and complete records for review and reference in a regulatory and internal audit setting.
- Maintains a high level of awareness of compliance related changes and developments in the securities industry through the review of publications, participation in industry associations, employee development initiatives, etc.
- Completes other duties and projects as assigned from time to time including, but not limited to, acting as back-up to colleagues.

WHAT YOU WILL BRING
- 2 or more years working at a securities dealer, mutual fund dealer or a financial industry related firm, preferably in a similar role.
- 1-2 years of financial industry experience
- CSC, CPH, and Branch Manager Course are an asset, or willingness to complete these courses.
- Excellent written and verbal business communication skills.
- Capable of simultaneously handling multiple tasks and meeting stringent deadlines in a fast paced and high-volume environment.
- Superior planning, organizational and time-management skills.
- Strong analytical skills and a keen eye for detail.
- Ability to work independently with mínimal supervision.
- Proficiency in Microsoft Office (Word, PowerPoint, Excel).
- Solid understanding of the financial advisory business.
- Ability to recognize and handle sensitive and confidential information
- Self-motivated, confident and capable of working both independently and in a team environment with a commitment to continuous improvement.
- Bilingualism in French and English is an asset.

WHAT YOU CAN EXPECT FROM US

Our dedication to the Employee Experience at CI is aimed at supporting, empowering and inspiring our talented team through:

- Recognition & Compensation
- Training & Development
- Health & Well-being

Communication & Feedback

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CI Financial is 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. We are driven by a commitment to provide individuals and institutions with the highest-quality investments and advice. Our commitment to the highest levels of performance means that whatever their position, CI employees must be comfortable in a fast-paced environment that will stretch them to tap into their highest potential. Employees with a healthy dose of ambition, a desire to commit to a curious mindset for continuous learning, and a willingness to go the extra mile thrive at CI.

WHAT WE OFFER- Modern HQ location within walking distance from Union Station- Flexible & 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