Senior Compliance Officer

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

Benefits offered by this job

Health insurance

Wellness programs

Life and disability insurance

Retirement savings plan

Paid holidays and vacation

Job summary

CI Financial Corp. is seeking a Senior Compliance Officer to support their Regulatory Compliance program for Investment Fund Manager and Exempt Market Dealer. The role focuses on sales practices, sales communications, and marketing compliance.

You will collaborate with stakeholders, apply securities rules, and help create policies and procedures to reflect evolving standards. In-office work is required four days per week in Toronto.

Qualifications

• Post-secondary education with knowledge of securities regulations.
• CSC or CPH designation is an asset for the role.
• 3+ years in mutual fund manager compliance or equivalent.

Responsibilities

• Coordinate with stakeholders across the organization to resolve issues.
• Apply policies and regulatory rules to respond to compliance inquiries.
• Assist in creating and documenting new processes for compliance initiatives and controls.
• Assist in creating new policies reflecting regulatory standards or corporate developments.
• Lead special projects as needed and manage multiple priorities.
• Review retail and institutional marketing materials for compliance adherence.
• Maintain sales practices checklists related to investment fund products/content.
• Support training contents and materials for Sales staff.

Skills

Analytical skills

Communication skills

Regulatory knowledge

Stakeholder management

Multi-tasking

Sales communications

Education

Post-secondary education

CSC designation

CPH designation

Tools

Salesforce

Concur

Tableau

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. JOB OVERVIEW We are currently seeking a Senior Compliance Officer to join our Compliance team. In this role, the successful candidate is expected to assist in the regulatory Compliance program for the Investment Fund Manager and Exempt Market Dealer. In particular, 81-105 sales practices and 81-102 sales communication and marketing and communications. Provide a range of compliance support services to sales, marketing, institutional business and back-office operations.

What You Will Do

• Coordinate directly with wide range of stakeholders across the organization to resolve issues, as required
• Apply policies and regulatory rules to respond to compliance related inquiries
• Assist in creation and documentation of new processes and procedure for new compliance initiatives and controls, ensuring applicable securities law and National Instrument rules are adhered to.
• Assist in the creation of new policies and guidelines to reflect new or changing regulatory/industry standards or corporate developments.
• Participate and lead special projects, as needed
• Ability to multi-task and work effectively and efficiently in a fast-paced, frequently changing environment
• Support in the review of all product and wholesaling marketing and sales communications materials, including (but not limited to) the below for adherence to applicable policies and regulations:
• Advisor and investor-facing materials
• Website content
• Product profile sheets
• Support in maintaining sales communication checklists for retail and institutional sales as they relate specifically to investment fund products/content
• Support in the review of retail sales practices activities relating to the adherence of regulatory requirements and internal policies and guidelines.
• Support in maintaining sales practices policy and guidelines as well as training contents and materials.

What You Will Bring

• Superior analytical skills, capable of advising across a range of compliance matters
• Post-secondary education plus Canadian Securities Course (CSC), the Conduct and Practices Handbook (CPH) or other industry related designations an asset.
• Thorough working knowledge of National Instruments 81-102, 81-105 and at least 3 years working experience in a mutual fund manager compliance department
• In depth knowledge of the financial industry including investment fund regulations and applicable National Instruments
• Strong communication skills, verbal and written
• Experience in Salesforce, Concur, Tableau software an asset
• Experience in providing training to a large group of Sales staff
• Superior and versatile analytical skills, capable of advising across a range of compliance matters
• Ability to multi-task and work effectively and efficiently in a fast-paced, frequently changing environment
• Proficient in understanding, identification, and assessment of internal controls for the purposes of assessing the effectiveness of their design

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.

The anticipated base salary range for this position is$55,000 to $95,000. Exact salary 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.

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

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.

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.

CI Financial is an independent company offering global wealth management and asset management advisory services. 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.