Compliance Officer, Registrations
2 weeks ago
**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.
We are seeking a dedicated Compliance Officer to join our Registrations Department. The Registrations Department oversees the licensing and registration processes for affiliated firms and individuals registered with regulatory bodies such as the Canadian Investment Regulatory Organization (CIRO), provincial securities commissions, the Autorité des marchés financiers (AMF and applicable U.S. state securities regulators. The Compliance Officer will ensure compliance with continuing education (CE), registration requirements, facilitating seamless processes and adherence to regulatory standards.
**WHAT YOU WILL DO**
- Provide detailed advice to the business on registration requirements for both corporate and individual registrants.
- Report approvals, suspensions, and deficiencies to the business and individual registrants in a clear and timely manner.
- Update and maintain firm and branch registrations as needed with applicable regulators.
- Act as a liaison with regulators to address complex registration matters, ensuring effective communication and resolution.
- Maintain and update firm and branch registrations with regulators, ensuring accuracy in the National Registration Database (NRD).
- Ensure Approved Persons meet continuing education (CE) obligations.
**WHAT YOU WILL BRING**
- Minimum 3 years of experience in insurance licensing or securities registrations, ideally with CIRO member firms or insurance agencies.
- Exceptional attention to detail and strong organizational, time management, and analytical skills.
- Proficient in producing accurate, clear, and concise documentation.
- Excellent written and verbal communication skills.
- Ability to work independently while managing highly sensitive, time-sensitive, and confidential information.
- Undergraduate degree preferred; post-secondary education in legal, finance, or a related field is an asset.
- Enthusiasm and a passion for compliance and regulatory processes.
- Ability to multitask effectively and collaborate as a team player
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.
A Supportive Environment for Success
We offer an in-office environment, competitive benefits, and a supportive workplace to help our employees thrive both personally and professionally.
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
Paid time off for Volunteering
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