Compliance Officer

1 week ago

Toronto, Canada CI Financial Corp. Full time

**Description**

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.

**WHAT YOU WILL DO**
- Conduct daily, monthly and quarterly compliance tasks, identifying and escalating issues to ensure prompt resolution and regulatory adherence.
- Help onboard new registrants to Ptrade and approve pre-clearance requests from registrants.
- Assess gifts and entertainment requests from registrants, ensuring alignment with compliance policies, and compile detailed monthly reports for management review.
- Review and analyze personal trading activities for registrant across internal and external trading accounts.
- Conduct comprehensive quarterly Trade Desk review and prepare detailed quarterly reports summarizing findings.
- Prepare and submit regulatory reports including marker correction, ISG request, gatekeeper reports etc.

**WHAT YOU WILL BRING**
- Minimum 2 years Compliance experience in an investment dealer.
- 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 detailed-oriented.
- Ability to work independently and under pressure.
- Able to handle multiple tasks and priorities effectively.

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
- Training Reimbursement
- Paid Professional Designations
- Employee Savings Plan (ESP)
- Corporate Discount Program
- Enhanced Group Benefits
- Parental Leave Top-Up Program
- Fitness Membership Discounts
- Paid Volunteer Day

  • Compliance Officer

    2 weeks ago

    Toronto, Canada Campus Support Full time

    We are happy to say that we are looking for an experienced **Compliance Office to join our team at Campus Support - Toronto GTA, Ontario** **Reporting to**: Regional Compliance/Finance Manager **Hours**: 40 hours a week, 9am-5pm EST **Address**:Toronto GTA Campuses **Preference**:Experience with Post Secondary Private or Public Education Institution...

  • Compliance Officer

    2 weeks ago

    Toronto, Canada CIRO OCRI Full time

    **Position Title: Compliance Officer** **Department: Compliance** **Region: Toronto** **Status: Permanent Full-time (Hybrid)** CIRO is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada’s debt and equity marketplaces. CIRO is carrying on the regulatory functions of the...

  • Compliance Officer

    2 weeks ago

    Toronto, Canada PayAlly Full time

    **About us** PayAlly provides exceptional financial services for businesses with global ambitions. We offer a fully integrated suite of financial services solutions tailor-made for our clients. Since our inception in 2017, we have moved billions of dollars and have simplified complex finance processes. Job Title: Compliance Officer Key...

  • Compliance Officer

    2 weeks ago

    Toronto, Canada Iceberg Finance Group Full time

    **Company Overview**: iFinance Canada is a well-established national consumer financing company that offers various financing to Canadians since 1996. We are part of Iceberg Finance Group, a sister company based in Quebec that also does business across Canada. We are a dynamic, rapidly growing organization currently recruiting for a meticulous and...

  • Compliance Officer

    6 days ago

    Toronto, Canada Enable Full time

    **Job Summary** As a **Compliance Officer **you will be responsible for helping Enable deliver on its quality management programme to meet external regulatory and statutory requirements and internal policies and procedures as part of the Sourcing, Risk & Compliance function. Your role is key in helping Enable’s departments understand their requirements...

  • Compliance Officer

    1 week ago

    Toronto, Canada Scotiabank Full time

    Requisition ID: 174551 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. **Purpose of Job**: Contributes to the overall success of the Global Banking & Markets and Treasury (“GBM&T”) Compliance Canada program. The Compliance Officer will work closely with the Senior Manager, Employee Trading and others...

  • Compliance Officer

    2 weeks ago

    Toronto, Canada Margrete Inc Full time

    **Overview** **Duties** - Develop, implement, and monitor compliance programs to ensure adherence to legal standards and internal policies. - Conduct regular audits and assessments to identify potential compliance risks and areas for improvement. - Collaborate with various departments to provide guidance on compliance-related matters. - Prepare detailed...

  • Compliance Officer

    2 weeks ago

    Toronto, Canada Travelex Limited Full time

    **Role Title: Compliance Officer****Reports to: Corporate Compliance & Risk Director****Location: Canada****Business unit: Compliance and Risk****Role purpose:**Responsibility & Accountability for supporting the Compliance and Risk Manager with analytical and reporting activity in the relevant country area including Corporate and partners sales areas.**Key...

  • Compliance Officer

    5 days ago

    Toronto, Canada BMO Financial Group Full time

    100 King Street West Toronto Ontario,M5X 1A1 **This is an 18 month contract position** **MANDATE** Reporting to Senior Manager Retail Compliance, the Compliance Officer is to aid in executing the management of all regulatory compliance and risk management for BMO Nesbitt Burns (BMO NB). The Compliance Officer is responsible for ensuring that the...

  • Compliance Officer

    2 weeks ago

    Toronto, Canada Amico Full time

    - Locations 789 Don Mills Road, North York, ON, M3C 1T5, CA Job Description The Compliance Officer will oversee adherence to regulatory, contractual, environmental, and safety standards on the project. This role will be working closely with legal, quality assurance, health & safety, and environmental teams, ensuring that project activities align with...