JOB OVERVIEWWe are currently seeking a Senior Compliance Officer, CI Wealth Compliance. In this role, the successful candidate is expected to encourage and foster a culture of compliance within the organization in accordance with securities industry rules and regulations.
The incumbent will be responsible for assisting Compliance management with policy and procedures, compliance technology, and regulatory initiatives at CI's various wealth companies, including its investment firms registered provincially or under the Canadian Investment Regulatory Organization (CIRO).
WHAT YOU WILL DO Provide strategic support to the Director, Compliance and Senior Management in Compliance on Compliance related matters.
Provide strategic input on the design, development and launch of policies and / or procedures related to business conduct compliance, trade conduct compliance and managed account supervision.
Support the development, implementation and continuous improvement of Compliance’s related programs, technology, tools and resources designed to enable CI's investment firms to meet its regulatory requirements and achieve organizational and operational goals.
Act as lead on small to large compliance technology initiatives.Maintain current knowledge and provide ongoing support to Compliance applications.
Provide guidance and training to Compliance and Operational teams, and sometimes directly to advisors and branch staff.Testing to ensure system integrity.
Be a subject matter expert on firm's systems.Complete other duties and projects as may be assigned by Director.WHAT YOU WILL BRING Minimum 5 years securities industry experienceExperience with IIROC and MFDAUniversity or college degree (or equivalent experience)Completion of applicable securities industry courses offered by the Canadian Securities Institute including Canadian Securities Course and Conduct and Practices Handbook, Supervision coursesDemonstrated knowledge and understanding of the relevant securities legislation and SRO rules and regulationsPrevious project management experience considered a strong assetStrong critical thinking skillsAbility to work independently and under pressureEffective communication and articulation skillsStrong conflict resolution, organizational, and communication skillsExtensive knowledge of MS Office applications including as Word, Excel, Power Point and OutlookFamiliarity and experience working with common securities transaction processing systemsWORKING CONDITIONSTravel not requiredWHAT YOU CAN EXPECT FROM USOur dedication to the Employee Experience at CI is aimed at supporting, empowering and inspiring our talented team through : Recognition & CompensationTraining & DevelopmentHealth & Well-beingCommunication & Feedback
Senior Compliance Officer
We are currently seeking a Senior Compliance Officer, CI Wealth Compliance. Provide strategic support to the Director, Compliance and Senior Management in Compliance on Compliance related matters. The incumbent will be responsible for assisting Compliance management with policy and procedures, compl...
Senior Compliance Officer
JOB OVERVIEWWe are currently seeking a Senior Compliance Officer, CI Wealth Compliance. WHAT YOU WILL DO Provide strategic support to the Director, Compliance and Senior Management in Compliance on Compliance related matters. The incumbent will be responsible for assisting Compliance management with...
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Nous bâtissons une banque axée sur les relations pour un monde moderne.Nous recrutons des professionnels talentueux et passionnés qui ont à cœur de faire ce qu’il faut pour nos clients.Banque CIBC, nous misons sur vos forces et vos ambitions pour vous donner le pouvoir d’agir.Les membres de notre éq...