Compliance Officer

1 week ago

Toronto, Ontario, Canada CI Financial Full time $60,000 - $120,000 per year

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 currently seeking a Compliance Officer to join our Compliance team. In this role, the successful candidate is expected to conduct compliance tasks in accordance with internal procedures and regulatory requirements, and to be heavily involved in trading surveillance in multiple entities within CI Wealth Management.

WHAT YOU WILL DO

  • Conduct daily, monthly and quarterly compliance tasks, identifying and escalating issues to ensure prompt resolution and regulatory adherence.
  • Monitor employees' trading and approve pre-clearance trade requests.
  • 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.
  • Monitor Compliance email box and Salesforce channel and respond to inquiries from other departments.

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

We are focused on building a diverse and inclusive workforce. If you are excited about this role and are not confident you meet all the qualification requirements, we encourage you to apply to investigate the opportunity further.

Please submit your resume in confidence by clicking "Apply". Only qualified candidates selected for an interview will be contacted. CI Financial Corp. and all of our affiliates ("CI") are committed to fair and accessible employment practices and provide reasonable accommodations for persons with disabilities. If you require accommodations in order to apply for any job opportunities, require this posting in an additional format, or require accommodation at any stage of the recruitment process please contact us at , or call ext. 4747.

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