Compliance Officer

5 months ago

Toronto, Canada CI Financial Full time

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. 

JOB OVERVIEW

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 registrants personal trading review in multiple entities within CI Wealth Management.

WHAT YOU WILL DO

Approve pre-clearance requests from registrants. Help onboard new registrants to Ptrade. Receive, scan and review external statements for registrants from multiple entities within CI Wealth Management, and report the results on a monthly, quarterly and yearly basis. Review gifts and entertainments requests and report the result on a monthly basis. Follow up with other institutions if there is no statement received during the month/quarter for registrants. Follow up with registrants to make sure their external trading accounts info are update to date and follow up if they have not uploaded their statements during the month. Conduct daily compliance tasks such as internal transfer, error account, inventory account, daily capital exposure etc.

WHAT YOU WILL BRING

University degree or equivalent experience. Previous compliance experience in investment dealer is an asset. 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

Flexible & Hybrid Work Program

Equipment Purchase Program

Training Reimbursement

Paid Professional Designations

Employee Share Purchase Program (ESPP)

Corporate Discount Program

Enhanced group benefits

Parental Leave Top–up program

Fitness membership discounts

Volunteer paid Days

Complimentary vending machines


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.

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