Chief Compliance Officer - Wealth

CI Investments; Toronto; On-site; CAD 150,000 - 200,000; Full time

Job summary

CI Investments is seeking a Chief Compliance Officer to lead its compliance function for the Wealth business. This critical leadership role involves overseeing the compliance program, ensuring regulatory alignment, and fostering a culture of compliance within the organization. The ideal candidate will have extensive experience in regulatory compliance, particularly in the financial services sector, and will be responsible for guiding senior leadership on compliance matters while managing a high-performing team.

Benefits

Training Reimbursement

Paid Professional Designations

Employee Savings Plan (ESP)

Corporate Discount Program

Enhanced group benefits

Parental Leave Topup program

Paid time off for Volunteering

Qualifications

• 15 years of progressive experience in regulatory compliance within financial services.
• Expert knowledge of IIROC, OSC, SEC, and FINRA regulations.
• Proven leadership and people management skills.

Responsibilities

• Lead and evolve the compliance framework for North American wealth management.
• Oversee regulatory audits, internal reviews, and risk assessments.
• Develop and deliver compliance training across teams.

Skills

Compliance Management

Risk Management

Financial Services

Securities Law

Project Management

Education

JD

CPA

CAMS

CRCM

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.

The Opportunity

Were looking to add and strategic Chief Compliance Officer (CCO) to lead the compliance function for our Wealth business. As CCO you will be accountable for overseeing and advancing the regulatory compliance program across our wealth management platform. This is a critical leadership role ensuring operational integrity regulatory alignment and a culture of compliance.

What Youll Do

• Lead and evolve the enterprise compliance framework for our North American wealth management business.
• Serve as the senior compliance officer registered with relevant regulatory bodies (e.g. IIROC OSC SEC FINRA).
• Provide strategic compliance guidance to senior leadership and the board.
• Oversee regulatory audits internal reviews and risk assessments.
• Collaborate with Legal Risk Operations and business leadership to proactively manage compliance risk.
• Develop and deliver compliance training and communications across advisor and corporate teams.
• Monitor and interpret evolving regulatory requirements across Canadian and U.S. jurisdictions ensuring timely implementation.
• Manage a highperforming compliance team and foster a culture of ethical conduct and accountability.

What You Bring

• 15 years of progressive experience in regulatory compliance within the financial services industry preferably across both Canada and the U.S.
• Expert knowledge of IIROC OSC SEC and FINRA regulations with handson experience managing crossborder compliance programs.
• Proven leadershipand people management skills in complex fastpaced environments.
• Demonstrated ability to advise executive leadership and board members with clarity and authority.
• Strong analytical communication and project management skills.
• Relevant certifications (e.g. JD CPA CAMS CRCM) are assets.

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 highestquality investments and advice. Our commitment to the highest levels of performance means that whatever their position CI employees must be comfortable in a fastpaced 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 inoffice 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 Topup 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 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 or callext. 4747.

Required Experience :

Chief

Key Skills

Compliance Management,Risk Management,Financial Services,PCI,Banking,Cost Accounting Standards,Quality Systems,Research Experience,NIST Standards,Securities Law,SOX,ISO 27000

Employment Type : Full-Time

Experience : years

Vacancy : 1

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