Compliance Officer, Complaints and Regulatory Investigations

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.

The Compliance Officer Complaints will ensure all assigned complaints internally identified concerns internal or regulatory investigations (Reportable Matters) are handled in a fair transparent objective and factual manner in accordance with the Complaints and Regulatory Investigation (CRI) Team policy and regulatory guidelines.

WHAT YOU WILL DO

• Complete an assessment of Reportable Matters to determine if the involvement of the CRI Team is required in accordance with the CRI Team policy.
• Report complaints within the prescribed timelines to CIRO (Investment Dealer and Mutual Fund Dealer divisions) and/or AMF through their respective reporting systems and continue to manage the regulatory filing status throughout the handling process.
• Prepare an internal investigation report for each Reportable Matter as required by CRI Team policy that includes a summary of the facts nature of the incident previous/related issues mitigating and/or aggravating factors involved parties comments an assessment of potential liability and Investigating Officers comments and recommended sanctions.
• Draft substantive response letters in accordance with the CRI Team policy outlining the entities final position and submit the documents to the Vice President Compliance and/or the Manager Complaints and Regulatory Investigations for review for review.
• Liaise with Agents Branch Managers Compliance Management Legal Department Executive Management Group CIRO and other regulatory and insurance business partners to resolve Reportable Matters as appropriate.
• Ensure all files assigned include all necessary elements to comply with CRI Incident and Complaint Handling Policy and regulatory requirements for complaint and investigation files.

WHAT YOU WILL BRING

• Post-secondary education plus Canadian Securities Course (CSC) the Conduct and Practices Handbook (CPH) or other industry related designations.
• 5 or more years of relevant investment industry experience dealing with a CIRO member firm or Investment Fund Company.
• Completion or progress toward industry related designations such as Canadian Securities Course (CSC) or the Conduct and Practices Handbook (CPH) is considered an asset.
• Current knowledge of: regulations including relevant National Instruments; CIRO ID and MFD and other SRO Rules Policies and Regulatory Notices; CSA National and Multilateral Instruments; applicable provincial and territorial securities rules and regulations; and federal and provincial privacy legislation.
• Strong communication skills verbal and written.
• Experience reviewing and applying CIRO (ID and MFD divisions) or National Instruments compliance requirements.
• Experience managing complaints and investigations preferably across different registration categories considered an asset.
• PC literate with advanced knowledge of MS Office (Excel Outlook PowerPoint and Word).

This role follows our inoffice work model and requires employees to be onsite four days per week to support collaboration and business needs.

Thisopportunity is for an existing vacancy with the company. Theanticipatedbase salary range for this position is$55000to$95000. Exactsalary dependson several factors such as experience skills education and budget. Salary range may vary basedon geographic addition tobase salary this position is eligible for participation in addition The Companyoffers a varietyof benefits toeligible 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 manyothers. Manyof these benefits are subsidizedor 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

• 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 Topup 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.

Please submit your resume in confidence by clicking Apply. Only qualified candidates selected for an interview will be contacted. 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 or call ext. 4747.

Required Experience:

Unclear Seniority

Employment Type : Full-Time
Experience: years
Vacancy: 1
Monthly Salary Salary: 55000 - 95000