Compliance Officer, Registrations

CI Financial; Toronto; On-site; CAD 60,000 - 90,000; Full time

Benefits offered by this job

Training Reimbursement

Paid Professional Designations

Employee Savings Plan (ESP)

Corporate Discount Program

Enhanced group benefits

Parental Leave

Paid time off for Volunteering

Job summary

A global financial services firm in Toronto is seeking a dedicated Compliance Officer, Registrations, to join their team. The role involves ensuring compliance with registration processes and providing guidance on regulatory requirements. Candidates should have at least 3 years of experience in licensing or securities registrations, strong organizational skills, and proficiency in Microsoft Office. This mid-senior level position offers a dynamic work environment with opportunities for professional growth.

Qualifications

• Minimum 3 years of experience in insurance licensing or securities registrations.
• Proficient in producing accurate, clear, and concise documentation.
• Ability to work independently while managing sensitive and time-sensitive information.

Responsibilities

• Ensure applications for individual and corporate registrations are filed in accordance with regulatory requirements.
• Analyze registration applications ensuring compliance and accuracy.
• Act as a liaison with regulators to address complex registration matters.

Skills

Attention to detail

Organizational skills

Time management

Analytical skills

Communication skills

Ability to multitask

Education

Undergraduate degree preferred

Post-secondary education in legal, finance, or related field

Tools

Microsoft Office (Word, Excel, Outlook)

Job description

Compliance Officer, Registrations

Join to apply for the Compliance Officer, Registrations role at CI Financial.

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 seeking a dedicated Compliance Officer to join our Registrations Department. The Registrations Department oversees the licensing and registration processes for affiliated firms and individuals registered with regulatory bodies such as the Canadian Investment Regulatory Organization (CIRO), provincial securities commissions, the Autorité des marchés financiers (AMF) and applicable U.S. state securities regulators. The Compliance Officer will ensure compliance with continuing education (CE) registration requirements, facilitating seamless processes and adherence to regulatory standards.

What you will do

• Ensure applications for individual and corporate registrations are filed in accordance with CIRO, AMF, provincial securities commissions, and other regulatory requirements.
• Provide detailed advice to the business on registration requirements for both corporate and individual registrants.
• Analyze all registration applications requiring approval by various regulatory bodies, ensuring compliance and accuracy.
• Report approvals, suspensions, and deficiencies to the business and individual registrants in a clear and timely manner.
• Update and maintain firm and branch registrations as needed with applicable regulators.
• Act as a liaison with regulators to address complex registration matters, ensuring effective communication and resolution.
• Maintain and update firm and branch registrations with regulators, ensuring accuracy in the National Registration Database (NRD).
• Ensure Approved Persons meet continuing education (CE) obligations.

What you will bring

• Minimum 3 years of experience in insurance licensing or securities registrations, ideally with CIRO member firms or insurance agencies.
• Exceptional attention to detail and strong organizational, time management, and analytical skills.
• Proficient in producing accurate, clear, and concise documentation.
• Excellent written and verbal communication skills.
• Ability to work independently while managing highly sensitive, time-sensitive, and confidential information.
• Proficiency in Microsoft Office (Word, Excel, Outlook) and internet-based applications.
• Undergraduate degree preferred; post‑secondary education in legal, finance, or a related field is an asset.
• Enthusiasm and a passion for compliance and regulatory processes.
• Ability to multitask effectively and collaborate as a team player.

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
• 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.

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.

Job Information

• Seniority level: Mid‑Senior level
• Employment type: Other
• Job function: Legal