Compliance Officer
1 week ago
CI Financial is an independent company offering global wealth management and asset management advisory services through a diverse group of 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 that have 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.
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 opportunity to grow through stretching themselves, where they can work on innovative products and projects, and where employees are supported and engaged to do so.
JOB OVERVIEW
We are currently seeking a Compliance Officer, Registrations (Insurance) to join our Compliance/Registrations Department.
The Registration Department is responsible for the management / administration of licensing and registration for the affiliated member firms of CI Financial registered with the Investment Industry Regulatory Organization of Canada (IIROC), the Mutual Fund Dealers Association of Canada (MFDA), provincial securities commissions, the Autorite des Marches Financiers (AMF), provincial insurance councils and where applicable US State Securities Regulators. Registration Officers facilitate all aspects of registration/licensing for individuals and all member firms.
WHAT YOU WILL DO
- Act as direct support to insurance licensing
- Obtain agent, agency and corporate insurance license for individual agents, and corporations.
- File Annual maintenance of Registrations with AMF for AEIS.
- Track insurance licensing renewal dates and work with representatives to ensure timely renewal of licenses and compliance with CE requirements.
- Follow up with some sponsors and provincial insurance councils as deemed necessary
- Maintain accurate insurance licenses in the firms internal database and the National Registration Database system
- Prepare monthly reports for external stakeholders on the status of licensing and E&O
- Submit cheque requests and track fees submitted to the provincial insurance council's and the AMF
- Keep abreast of the provincial insurance/compliance laws and changes and implement changes accordingly
WHAT YOU WILL BRING
- Minimum 2 years' experience with insurance license registrations working with Insurance agency. Post-secondary education or training in insurance business, finance or related discipline.
- Completion of the LLQP or insurance licensing course would be an asset
- Proficient in completing accurate, clear. and concise documentation
- Excellent communication skills, both written and verbal
- Ability to work independently
- Ability to manage highly sensitive, time sensitive and confidential information
- Proficient in computer skills ( MS office and Internet)
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
416-364-1145 ext. 4747
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