Senior Compliance Officer

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, Portfolio Management (PM) Compliance to join our Compliance team. The Senior Compliance Officer will report to the Director, PM Compliance.

In this role, the successful candidate will have experience using Charles River, or another investment management solution such as Bloomberg AIM, including setting up pre-trade and post-trade compliance rules in the system.

The candidate is expected to assist the PM Compliance team with responding to alerts, testing, coding and documenting any applicable changes.

The job may involve working with data sets sourced both internally and from market analytics providers such as Bloomberg.

The individual will also be responsible for providing data and analytics support on an ad hoc basis.

WHAT YOU WILL DO

• Assist the PM Compliance team with daily monitoring of pre-trade and batch alerts generated by Charles River
• Review and code rules in Charles River to reflect investment mandate requirements, new products, and rule changes, ensuring applicable securities laws and National Instrument rules are adhered to
• Coordinate with stakeholders across the organization to resolve issues, as required
• Analyze requirements and take ownership of implementation of Charles River changes
• Apply policies and regulatory rules to respond to compliance related inquiries
• Assist with the Personal Trading program by reviewing employee trade requests to ensure compliance with personal trading policies
• Assist with reporting and regulatory filings, as needed
• Participate in and lead special projects, as needed
• Ability to multi-task and work effectively and efficiently in a fast-paced, frequently changing environment

WHAT YOU WILL BRING

• Charles River or other investment management solution experience (Bloomberg AIM, Alphadesk, Longview, etc.)
• Experience working in a compliance function at a portfolio management or investment management firm in Canada
• Strong knowledge of the securities industry and related products
• Excellent project management, critical thinking and interpersonal skills
• Strong communication skills, both verbal and written
• Superior analytical skills, capable of advising across a range of compliance matters
• Expert MS Excel skills
• Post-secondary education in a related field (i.e. finance, mathematics or other related specialization)
• Completion of Canadian Securities Course and or Conduct Practice & Handbook, would be a plus

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.

WHAT WE OFFER

• Modern HQ location within walking distance from Union Station
• Flexible & Hybrid Work Program
• Equipment Purchase Program
• Training Reimbursement
• Paid Professional Designations
• Employee Share Purchase Program (ESPP)
• Corporate Discount Program
• Enhanced group benefits
• Parental Leave Top up program
• Fitness membership discounts
• Volunteer paid Days
• Complimentary vending machines

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.

[email protected], or call 416-364-1145 ext. 4747.