Compliance Officer, Complaints

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.

POSITION: Compliance Officer, Complaints

REPORTS TO: Director, Compliance

DEPARTMENT: CI Compliance

COMPANY: CI Investments

LOCATION: Toronto, Ontario ( Hybrid)

STATUS: FULL-TIME

BAND: 2

JOB OVERVIEW

The Compliance Officer, Complaints will ensure all assigned complaints, internally identified concerns, internal or regulatory investigations, and privacy incidents (“Reportable Matters”) are handled in a fair, transparent, objective, and factual manner in accordance with the Complaints and Regulatory Investigation (“CRI”) Team policy and regulatory guidelines.

WHAT YOU WILL DO
- Complete an assessment of Reportable Matters to determine if the involvement of the CRI Team is required, in accordance with the CRI Team policy.
- Report valid complaints within the proscribed timelines to IIROC, MFDA or AMF through their respective reporting systems and continue to manage the regulatory filing status throughout the handling process.
- Prepare an internal investigation report for each Reportable Matter as required by CRI Team policy that includes a summary of the facts, nature of the incident, previous/related issues, mitigating and/or aggravating factors, involved parties’ comments, an assessment of potential liability, and Investigating Officer’s comments and recommended sanctions.
- Draft substantive response letters in accordance with the CRI Team policy outlining the entities final position and submit the documents to the Director of the CRI Team or designated Senior Compliance Officer for review.
- Liaise with Agents, Branch Managers, Compliance Management, Legal Department, Executive Management Group, IIROC, MFDA, and other regulatory and insurance business partners to resolve Reportable Matters, as appropriate.
- Ensure all files assigned include all necessary elements to comply with CRI Incident and Complaint Handling Policy and regulatory requirements for complaint and investigation files.

WHAT YOU WILL BRING
- Post-secondary education plus Canadian Securities Course (CSC), the Conduct and Practices Handbook (CPH) or other industry related designations
- 5+ or more years of relevant investment industry experience dealing with an IIROC, MFDA member firm or Investment Fund Company
- Completion or progress toward industry related designations such as Canadian Securities Course (CSC), or the Conduct and Practices Handbook (CPH), is considered an asset
- Current knowledge of: regulations including relevant National Instruments; IIROC, MFDA and other SRO Rules, Policies and Regulatory Notices; CSA National and Multilateral Instruments; applicable provincial and territorial securities rules and regulations; and federal and provincial privacy legislation.
- Strong communication skills, verbal and written
- Experience managing complaints and investigations, preferably across different registration categories considered an asset.
- PC literate with advanced knowledge of MS Office (Excel, Outlook, PowerPoint and Word).

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

, or call
416-364-1145 ext. 4747
. If you are contacted by CI regarding a job opportunity or testing and require accommodation in any stage of the recruitment process, please use the above contact information. We will work with all applicants to determine appropriate accommodation for individual accessibility needs.

416-364-1145 ext. 4747
.