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 currently seeking a Senior Compliance Officer to join our Compliance team. In this role, the successful candidate is expected to conduct compliance tasks in accordance with internal procedures and regulatory requirements, and to be heavily involved in trading surveillance in multiple entities within CI Wealth Management.WHAT YOU WILL DO
Conduct daily, monthly and quarterly compliance tasks, identifying and escalating issues to ensure prompt resolution and regulatory adherence.
Monitor employees' trading and approve pre-clearance trade requests.
Review and analyze personal trading activities for registrant across internal and external trading accounts.
Conduct comprehensive quarterly Trade Desk review and prepare detailed quarterly reports summarizing findings.
Prepare and submit regulatory reports including marker correction, ISG request, gatekeeper reports etc.
Monitor Compliance email box and Salesforce channel and respond to inquiries from other departments.
WHAT YOU WILL BRING
Minimum 2 years Compliance experience in an investment dealer, with working knowledge of UMIR and CIRO rules.
Strong verbal and written communication skills.
Completion of CSC and CPH is considered an asset.
Proven ability to collaborate effectively with compliance teams and stakeholders.
Strong analytical mindset and detailed-oriented.
Ability to work independently and perform well under pressure.
Demonstrated ability to manage multiple tasks and priorities in a fast-paced environment.
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.
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
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.
Senior Compliance Officer • Toronto, Ontario, CA
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