Talent.com
No longer accepting applications
Compliance Officer

Compliance Officer

CI FinancialToronto, ON, Canada
30+ days ago
Job type
  • Full-time
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 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 registrants personal trading review in multiple entities within CI Wealth Management.

WHAT YOU WILL DO

  • Approve pre-clearance requests from registrants.
  • Help onboard new registrants to Ptrade.
  • Receive, scan and review external statements for registrants from multiple entities within CI Wealth Management, and report the results on a monthly, quarterly and yearly basis.
  • Review gifts and entertainments requests and report the result on a monthly basis.
  • Follow up with other institutions if there is no statement received during the month / quarter for registrants.
  • Follow up with registrants to make sure their external trading accounts info are up to date.
  • Conduct other daily, monthly and quarterly compliance tasks.

WHAT YOU WILL BRING

  • University degree or equivalent experience.
  • Previous compliance experience in investment dealer is an asset.
  • Strong verbal and written communication skills.
  • Completion of CSC and CPH is an asset.
  • Excellent communication skills and ability to work collaboratively with compliance teams.
  • Strong analytical mindset and detail-oriented.
  • Ability to work independently and under pressure.
  • Able to handle multiple tasks and priorities effectively.

    • 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 Top–up 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 at accessible.recruitment@ci.com, or call 416-364-1145 ext. 4747.

    J-18808-Ljbffr

    Create a job alert for this search

    Compliance Officer • Toronto, ON, Canada