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.

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.

Theanticipatedbase salary range for this position is $55000to $95000. Exactsalary depends on several factors such as experience skills education and budget. Salary range may vary based on geographic addition to base salary this position is eligible for participation in a bonus 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

• 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.