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About the Role

The Compliance Officer, Complaints ensures all assigned complaints, internally identified concerns, and internal or regulatory investigations ("Reportable Matters") are handled fairly, transparently, objectively, and factually, adhering to CRI Team policy and regulatory guidelines.

Responsibilities

• Assess Reportable Matters to determine CRI Team involvement per policy.
• Report complaints to CIRO and/or AMF within prescribed timelines and manage regulatory filing status.
• Prepare internal investigation reports for Reportable Matters, including facts, incident nature, issues, factors, comments, liability assessment, and recommended sanctions.
• Draft substantive response letters outlining the entity's final position for review by Vice President, Compliance or Manager, Complaints and Regulatory Investigations.
• Liaise with Agents, Branch Managers, Compliance Management, Legal, Executive Management, CIRO, and other partners to resolve Reportable Matters.
• Ensure all assigned files comply with CRI Incident and Complaint Handling Policy and regulatory requirements.

Requirements

• 5+ years of relevant investment industry experience with a CIRO member firm or Investment Fund Company.
• Current knowledge of regulations, including relevant National Instruments; CIRO ID and MFD, and other SRO Rules, Policies and Regulatory Notices; CSA National and Multilateral Instruments; applicable provincial and territorial securities rules and regulations; and federal and provincial privacy legislation.
• Experience reviewing and applying CIRO (ID and MFD divisions) or National Instruments compliance requirements.

Skills

• Strong verbal and written communication skills.
• PC literate with advanced knowledge of MS Office (Excel, Outlook, PowerPoint, Word).
• Completion or progress toward industry related designations such as Canadian Securities Course (CSC) or Conduct and Practices Handbook (CPH) (considered an asset).
• Experience managing complaints and investigations, preferably across different registration categories (considered an asset).

Location

• In-office
• Onsite four days per week
• Modern HQ location within walking distance from Union Station

Work Type

• In-office work model
• Onsite four days per week

Experience Level

• 5+ years of relevant investment industry experience

Education Level

• Post-secondary education
• Canadian Securities Course (CSC)
• Conduct and Practices Handbook (CPH) or other industry related designations

Salary/Compensations

• $55,000 to $95,000 base salary range
• Eligible for participation in a bonus program

Benefits

• Health insurance coverage
• Wellness programs
• Life and disability insurance
• Retirement savings plans
• Paid leave programs
• Education-related programs
• Paid holidays
• Vacation time
• 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

About the Company

• CI Financial is an independent company offering global wealth management and asset management advisory services through diverse financial services firms.
• Established in 1965, consistently anticipating and responding to changing investor needs.
• Committed to providing individuals and institutions with high-quality investments and advice.
• Fosters a fast-paced environment where employees are stretched to tap into their highest potential.
• Values ambition, a curious mindset for continuous learning, and a willingness to go the extra mile.
• Offers an in-office environment, competitive benefits, and a supportive workplace.

Equal Opportunity

• Focused on building a diverse and inclusive workforce.
• Encourages applications from candidates who may not meet all qualification requirements.
• CI Financial Corp. and its affiliates are committed to fair and accessible employment practices.
• Provides reasonable accommodations for persons with disabilities.
• Offers accommodation for job applications, additional posting formats, or any stage of the recruitment process.
• Contact accessible.recruitment@ci.com or call 416-364-1145 ext. 4747 for accommodations.