Chief Compliance Officer - Wealth
Chief Compliance Officer - Wealth
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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.
The OpportunityWere looking to add and strategic Chief Compliance Officer (CCO) to lead the compliance function for our Wealth business. As CCO you will be accountable for overseeing and advancing the regulatory compliance program across our wealth management platform. This is a critical leadership role ensuring operational integrity regulatory alignment and a culture of compliance.
What Youll Do
- Lead and evolve the enterprise compliance framework for our North American wealth management business.
- Serve as the senior compliance officer registered with relevant regulatory bodies (e.g. IIROC OSC SEC FINRA).
- Provide strategic compliance guidance to senior leadership and the board.
- Oversee regulatory audits internal reviews and risk assessments.
- Collaborate with Legal Risk Operations and business leadership to proactively manage compliance risk.
- Develop and deliver compliance training and communications across advisor and corporate teams.
- Monitor and interpret evolving regulatory requirements across Canadian and U.S. jurisdictions ensuring timely implementation.
- Manage a highperforming compliance team and foster a culture of ethical conduct and accountability.
What You Bring
- 15 years of progressive experience in regulatory compliance within the financial services industry preferably across both Canada and the U.S.
- Expert knowledge of IIROC OSC SEC and FINRA regulations with handson experience managing crossborder compliance programs.
- Proven leadershipand people management skills in complex fastpaced environments.
- Demonstrated ability to advise executive leadership and board members with clarity and authority.
- Strong analytical communication and project management skills.
- Relevant certifications (e.g. JD CPA CAMS CRCM) are assets.
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 highestquality investments and advice. Our commitment to the highest levels of performance means that whatever their position CI employees must be comfortable in a fastpaced 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 inoffice 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 callext. 4747.
Required Experience:
Chief
Employment Type
Full-Time
