Compliance Officer, Registrations - Regulatory Licensing Expert

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

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.