Compliance Officer

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  Location

  (CANADA) and Toronto

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  Job Reference

  21452

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  Functional Area/Experience

  Business, Accounting & Finance / 2 Years

Job Description & Qualifications

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 involved in trade surveillance in multiple entities within CI Wealth Management.

What you will do

• Conduct daily, weekly, monthly and quarterly compliance tasks in accordance with internal procedures and regulatory requirements.
• Perform quarterly trade desk review.
• Monitor and answer inquiries in compliance email box and salesforce compliance folder.
• Approve transfer out requests and EFT/wire out requests.
• Work closely with other compliance staff and assist with inquiries related to regulatory reporting, AML monitoring, etc.
• Approve pre-clearance requests from registrants and review external statements.
• Follow up with operation team on service complaints.
• Review and approve for monthly statement release.
• Work on special projects as requested.

What you will bring

• University degree or equivalent experience.
• 2 – 4 years experience within financial service industry.
• 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.

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 accessible.recruitment@ci.com, or call 416-364-1145 ext. 4747.