Bilingual Senior Compliance Officer, Branch Audit

CI Financial; Toronto; On-site; CAD 55,000 - 95,000; Full time

Benefits offered by this job

Training Reimbursement

Paid Professional Designations

Employee Savings Plan (ESP)

Corporate Discount Program

Enhanced group benefits

Parental Leave Top–up program

Paid time off for Volunteering

Job summary

CI Financial seeks a Senior Compliance Officer, Branch Audit to conduct branch audits across Canada and deliver compliance training to CI Assante Branch Managers, Advisors and staff.

The role is based in Toronto with extensive travel (70%) to branches. Requirements include a university degree, CIRO compliance experience, bilingual French proficiency, and knowledge of securities regulations. CI Financial offers comprehensive benefits and development opportunities.

Qualifications

• University degree or college diploma required.
• Previous compliance experience in dealership setting (CIRO) preferred.
• Fully proficient in French.
• Canadian Securities Course (CSC) and Conduct and Practices Handbook (CPH) or other industry designations are assets.

Responsibilities

• Travel to CI Assante Branches to identify, address and overcome regulatory deficiencies.
• Assist Advisors/branches in solving problems and implementing solutions to foster client trust.
• Identify regulatory gaps and deliver education/training to improve compliance.
• Work with Branch Managers to support ongoing training and education.
• Create audit reports based on findings and follow up on deficiencies.
• Provide compliance training through PD days and branch meetings.
• Stay updated on changes to procedures, policies and regulations.
• Maintain knowledge through industry courses, seminars and internal publications.
• The role is based in Toronto with extensive travel to branches (70%).

Skills

French

Education

University degree/college diploma

Tools

MS Office

Job 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 Bilingual Senior Compliance Officer, Branch Audit to join our Compliance team. In this role, the successful candidate is expected to conduct branch audits across Canada and facilitate branch Professional Development Training (PD days) presenting compliance topics to CI Assante Branch Managers, Advisors and staff.

WHAT YOU WILL DO

• Travel to assigned CI Assante Branches and identify, address and overcome regulatory compliance deficiencies within the branch environment.
• Help Advisors/branches solve problems and implement solutions designed to foster client trust and help build the Advisor’s business.
• Help Advisors/branches identify regulatory deficiencies and correct compliance gaps through the delivery of education/training and practical solutions to their business objectives.
• Work closely with Branch Managers to support the delivery of ongoing training and education.
• Create and complete audit reports based on audit findings and follow up on deficiencies identified in the reports.
• Provide compliance training through Professional Development Training (PD days) and branch meetings.
• Keep abreast of changes to departmental procedures, firm policies, in-house compliance and supervisory manuals and rules, regulations and requirements of securities regulatory authorities and self-regulatory organizations of which Assante’s dealer member firms are members.
• Work to continually improve product and compliance knowledge by completing industry courses, participating in seminars, workshops and conferences, proactively reading internal publications, industry news and media releases, and sharing information and ideas with peers.
• The role is based in Toronto but will require extensive travel to branches (70% travel).

WHAT YOU WILL BRING

• University degree/college diploma/ or equivalent experience
• Previous compliance experience in dealership setting (CIRO)
• Fully proficient in French
• 2 - 4 years’ experience within Financial Services in sales, support or supervisory role
• Demonstrated knowledge and understanding of the relevant securities legislation and SRO rules and regulations.
• Extensive knowledge of MS Office applications including as Word, Excel, Power Point and Outlook
• Canadian Securities Course (CSC) and the Conduct and Practices Handbook (CPH) or other industry related designations an asset.
• Branch Manager Course would be an additional asset at hiring or recommendation for candidate to complete

WORKING CONDITIONS

• Regular travel required
• This role follows our in office work model and requires employees to be onsite four days per week to support collaboration and business needs.

This opportunity is for an existing vacancy with the company. Theanticipatedbase salary range for this position is$55,000to $95,000. Exactsalary depends on several factors such as experience, skills, education, and budget. Salary range may vary based on geographic location. In addition to base salary, this position is eligible for participation in a bonus program. In addition, The Company offers a variety of benefits to eligible employees, including health insurance coverage, wellness programs, life and disability insurance, retirement savings plans, paid leave programs, education-related programs, paid holidays and vacation time, and many others. Many of these benefits are subsidized or fully paid for by the company.

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.

A Supportive Environment for Success

We offer an in-office environment, competitive benefits, and a supportive workplace to help our employees thrive both personally and professionally.

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
• Paid time off for Volunteering

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 investigate the opportunity further.

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 [e-mail], or call 416-364-1145 ext. 4747.