Manager, Compliance

**ABOUT US**

CI Global Asset Management is one of the country’s largest investment fund companies. CI is known for its innovation and ability to adapt quickly to the changing needs of Canadian investors. It provides employees with a fast-paced and challenging work environment with opportunities for advancement. CI is part of CI Financial, a diverse group of financial services firms.
**JOB OVERVIEW**

The Manager, Compliance will assist with the oversight of the regulatory Compliance program at CI Investments Inc., with respect to its Investment Fund Manager, Portfolio Manager, and Exempt Market Dealer registration categories. The individual will participate in and contribute to various projects and provide a range of Compliance support services to functional departments across CI, including Products, Portfolio Operations, Accounting, Legal, Project Management, and Institutional businesses.
**WHAT YOU WILL DO**
- Create and document new processes and procedures for new compliance initiatives and controls, ensuring applicable securities laws and National Instrument rules are adhered to.
- Create, communicate and maintain policies to reflect new or changing regulatory/industry standards or corporate developments, as required
Coordinate directly with wide range of stakeholders across the organization to gather information and resolve issues, as required.
- Review and analyze data gathered from various sources, identify issues and trends, and produce summary report for senior management
- Manage and oversee certain compliance programs. (e.g. sub-adviser oversight, outside business activity, personal trading)
- Lead various initiatives for the Compliance team and initiate process enhancements.
- Develop, implement, and maintain testing/assurance and oversight processes to support the compliance program and reporting.
- Advise on compliance matters and support continuous training and education to the business partners.
- Participate and assist in various projects as required.
- Assist in implementation of enterprise regulatory compliance management program.
- Ensure regulatory filings, reporting and compliance deadlines are met including responses to information requests.
**WHAT YOU WILL BRING**

Experience
- Minimum of 5 years of relevant industry experience in a senior compliance capacity at an asset management firm or a financial institution

Education/Training
- Post-secondary education
- Completion or progress toward industry related designations such as Canadian Securities Course (CSC), the Conduct and Practices Handbook (CPH), or Chartered Financial Analyst (CFA) is considered an asset

Knowledge, Skills, and Abilities
- In depth knowledge of the financial and asset management industry
- Working knowledge of and ability to interpret applicable securities laws and regulations including but not limited to NI 31-103 and NI 81-102
- Strong communication skills, verbal and written
- Superior and versatile analytical skills, capable of advising across a range of compliance matters
- Strong MS Office skills (Excel, Word, PowerPoint and Outlook), proficiency in MS Excel is a must
- Ability to multi-task and work effectively and efficiently in a fast-paced, frequently changing environment
- Experience with Charles River would be 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

If you are a passionate, committed and dynamic individual, please submit your resume in confidence by clicking “**Apply**”.

Posting Tags: IND#