JOB OVERVIEW
We are currently seeking a Senior Compliance Officer, CI Wealth Compliance. In this role, the successful candidate is expected to encourage and foster a culture of compliance within the organization in accordance with securities industry rules and regulations.
The incumbent will be responsible for assisting Compliance management with policy and procedures, compliance technology, and regulatory initiatives at CI's various wealth companies, including its investment firms registered provincially or under the Canadian Investment Regulatory Organization (CIRO).
WHAT YOU WILL DO
- Provide strategic support to the Director, Compliance and Senior Management in Compliance on Compliance related matters.
- Provide strategic input on the design, development and launch of policies and / or procedures related to business conduct compliance, trade conduct compliance and managed account supervision.
- Support the development, implementation and continuous improvement of Compliance’s related programs, technology, tools and resources designed to enable CI's investment firms to meet its regulatory requirements and achieve organizational and operational goals.
- Act as lead on small to large compliance technology initiatives.
- Maintain current knowledge and provide ongoing support to Compliance applications.
- Provide guidance and training to Compliance and Operational teams, and sometimes directly to advisors and branch staff.
- Testing to ensure system integrity.
- Be a subject matter expert on firm's systems.
- Complete other duties and projects as may be assigned by Director.
WHAT YOU WILL BRING
- Minimum 5 years securities industry experience
- Experience with IIROC and MFDA
- University or college degree (or equivalent experience)
- Completion of applicable securities industry courses offered by the Canadian Securities Institute including Canadian Securities Course and Conduct and Practices Handbook, Supervision courses
- Demonstrated knowledge and understanding of the relevant securities legislation and SRO rules and regulations
- Previous project management experience considered a strong asset
- Strong critical thinking skills
- Ability to work independently and under pressure
- Effective communication and articulation skills
- Strong conflict resolution, organizational, and communication skills
- Extensive knowledge of MS Office applications including as Word, Excel, Power Point and Outlook
- Familiarity and experience working with common securities transaction processing systems
WORKING CONDITIONS
Travel not required
WHAT YOU CAN EXPECT FROM US
Our dedication to the Employee Experience at CI is aimed at supporting, empowering and inspiring our talented team through :
- Recognition & Compensation
- Training & Development
- Health & Well-being
- Communication & Feedback
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