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About the Role

Review, supervise, and coordinate the approval of CI Assante Advisor advertising, sales literature, and correspondence, ensuring adherence to regulatory requirements, internal policies, and branding standards.

Responsibilities

• Review and coordinate the approval of all client and public-oriented advisor sales communications, including advertisements, stationery, signage, newsletters, client letters, brochures, presentations, events, websites, social media, and other digital advertising.
• Educate and support advisors and their staff on regulatory and internal policies and procedures, ensuring initiatives align with CI Assante business and brand standards.
• Ensure advisors implement required revisions and secure approval prior to dissemination.
• Conduct compliance reviews in a high-quality, risk-based manner.
• Proactively identify, investigate, resolve, and escalate violations of regulatory requirements and internal policies that pose risks to advisors, dealers, and the CI Assante brand.
• Minimize compliance risk, reputational damage, client complaints, and litigation.
• Liaise with internal departments for business, design, and branding reviews.
• Communicate with advisors professionally, providing direction and recommendations for corrective action.
• Collaborate with other Compliance Officers and Management to secure approvals.
• Coordinate the tracking and distribution of incoming requests.
• Maintain accurate internal files and complete records for audits.
• Stay informed about compliance changes and developments in the securities industry.
• Complete other duties and projects as assigned, including backing up colleagues.

Requirements

• 2 or more years of experience working at a securities dealer, mutual fund dealer, or financial industry-related firm, preferably in a similar role.
• 1-2 years of financial industry experience.
• University degree or college diploma in a relevant subject area or equivalent work experience.
• Excellent written and verbal business communication skills.
• Ability to handle multiple tasks simultaneously and meet stringent deadlines in a fast-paced, high-volume environment.
• Superior planning, organizational, and time-management skills.
• Strong analytical skills and attention to detail.
• Exceptional customer service skills and ability to build rapport with financial advisors and internal staff.
• Ability to work independently with minimal supervision.
• Proficiency in Microsoft Office (Word, PowerPoint, Excel).
• Good knowledge of other software applications (Adobe Acrobat, Nitro Pro), the internet, and social media.
• Solid understanding of the financial advisory business.
• Knowledge, understanding, and practical application of relevant provincial securities and SRO (CIRO, AMF, Exchanges) rules and regulations, and other applicable regulatory requirements.
• Ability to interpret and apply business, compliance, and regulatory guidelines.
• Ability to recognize and handle sensitive and confidential information.
• Self-motivated, confident, and capable of working independently and in a team environment.
• Commitment to continuous improvement.

Skills

• Sales communications review
• Regulatory adherence
• Internal policy compliance
• Brand standards management
• Risk assessment
• Problem-solving
• Interdepartmental collaboration
• Client communication
• Record keeping
• Industry awareness
• Microsoft Office Suite
• Adobe Acrobat
• Nitro Pro
• Internet and social media proficiency
• Financial advisory business understanding
• Securities and SRO regulations
• Bilingualism in French and English (asset)

Location

• In-office environment

Work Type

• Full-time

Experience Level

• Senior

Education Level

• University degree or college diploma in a relevant subject area or equivalent work experience
• CSC, CPH, and Branch Manager Course are an asset, or willingness to complete these courses

Salary/Compensations

• $55,000 to $95,000
• 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.
• Since 1965, CI has consistently anticipated and responded to the changing needs of investors.
• The company is driven by a commitment to provide individuals and institutions with the highest-quality investments and advice.
• CI employees work in a fast-paced environment that encourages growth and potential.
• Employees with ambition, a curious mindset for continuous learning, and a willingness to go the extra mile thrive at CI.
• Offers a modern HQ location within walking distance from Union Station.

Equal Opportunity

• CI Financial Corp. and all of its 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.recruitment@ci.com, or call 416-364-1145 ext. 4747.