Compliance Officer, Complaints and Regulatory Investigations - Contract

CI Financial; Toronto; On-site; CAD 88,000 - 96,000; Full time

Job summary

A leading company in wealth management is seeking a Compliance Officer to foster a culture of compliance. The role involves handling complaints, conducting investigations, and supporting the CRI Team. Ideal candidates will have a university degree and relevant industry experience. This is a contract position with opportunities for growth and a supportive work environment.

Benefits

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

Qualifications

• 5+ years of relevant investment industry experience.
• Current knowledge of regulations including relevant National Instruments.

Responsibilities

• Assist with handling and filing throughout the Reportable Matter investigation process.
• Monitor, document, and track open inquiries related to Reportable Matters.

Skills

Analytical mindset

Communication

Detail-oriented

Education

University degree or equivalent experience

Tools

MS Office

Job description

Compliance Officer, Complaints and Regulatory Investigations - Contract

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Compliance Officer, Complaints and Regulatory Investigations - Contract

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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 CI Complaints and Regulatory Investigation (“CRI”) Team is currently seeking a Compliance Officer. The successful candidate is expected to encourage and foster a culture of compliance within the organization in accordance with our policies and procedures, securities industry rules and regulations. The successful candidate will be responsible for assisting the CRI Team with the handling of all assigned complaints, internally identified concerns, internal or regulatory investigations (“Reportable Matter”), and ensuring they are handled in a fair, transparent, objective, and factual manner in accordance with the policy and procedures and regulatory requirements of CI's various entities, including its wealth and asset management firms, registered provincially and/or under the Canadian Investment Regulatory Organization (CIRO).

What You Will Do

In close and constant collaboration with the CRI Team investigating compliance officers (“CRI Investigating Officer”) and the CRI Team’s management:

• Assist with the administrative handling and filing throughout the Reportable Matter investigation process including but not limited to:
• Preparing the Reportable Matter Investigation file which includes the creation of the electronic Reportable Matter file where all the relevant documentation and communications will be maintained within the CRI SharePoint.
• Preparing inquiries and requests for information from stakeholders promptly
• Supporting the CRI Investigating Officers with researching documentation, requesting and reviewing the relevant data, liaising with relevant stakeholders in order to contribute to:
• the delivery of the Reportable Matter Investigation Analysis that includes a summary of the facts, nature of the incident, previous/related issues, mitigating and/or aggravating factors, involved parties’ comments, an assessment of potential liability, and the CRI Investigating Officer’s comments and recommended sanctions
• the drafting of CRI response correspondence (including Acknowledgement Letters, Substantive Response Letters, Cover Letters, Settlement Letters, Claim Forms)
• the conclusion, closing and filings of the Reportable Matter.
• Monitoring, documenting and tracking open inquiries, issues, and timelines related to all assigned Reportable Matters and providing updates to the relevant stakeholders within the CRI Team (the Reportable Matter CRI Investigating Officer, and/or the CRI Team’s management where necessary) for potential issue management/escalation.
• Conducting a quality review to ensure all Reportable Matter files include all the necessary elements to comply with the CRI Incident and Complaint Handling Policy and regulatory requirements for complaint and investigation files and thus support the CRI Investigating Officer with the closing of the Reportable Matter files.
• Assist the CRI Team with the daily monitoring, handling and answering of inquiries in the various CRI email inboxes.
• Provide support to the CRI Team’s management as part of the Reportable Matter handling and ad-hoc projects, other compliance tasks, or duties.
• Liaise with Agents, Branch Managers, Compliance Management, Legal Department, Executive Management Group, CIRO, and other regulatory and insurance business partners to assist with the resolution of Reportable Matters, as appropriate.
  

What You Will Bring

• Post-secondary education, University degree or equivalent experience.
• 5+ or more years of relevant investment industry experience dealing with a CIRO member firm or Investment Fund Company.
• Completion or progress toward industry related designations such as Canadian Securities Course (CSC), or the Conduct and Practices Handbook (CPH), is considered an asset.
• Current knowledge of: regulations including relevant National Instruments; CIRO ID and MFD and other SRO Rules, Policies and Regulatory Notices; CSA National and Multilateral Instruments; applicable provincial and territorial securities rules and regulations.
• PC literate with advanced knowledge of MS Office (Excel, Outlook, PowerPoint and Word).
• Experience in operations and service support, and data processes, is considered an asset.
• Strong analytical mindset and detailed-oriented.
• Strong communication skills, verbal and written.
• Ability to work both collaboratively and autonomously.
• Ability to handle multiple tasks and priorities effectively.
• Experience reviewing and applying CIRO (ID and MFD divisions) or National Instruments compliance requirements is considered an asset.
• Experience managing complaints and investigations, preferably across different registration categories considered an asset.
  
  

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

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Legal

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