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About the Role

The Senior Compliance Officer will conduct compliance tasks in accordance with internal procedures and regulatory requirements, and will be heavily involved in trading surveillance in multiple entities within CI Wealth Management.

Responsibilities

• 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.

Requirements

• Minimum 2 years Compliance experience in an investment dealer.
• Working knowledge of UMIR and CIRO rules.
• 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.

Skills

• Strong verbal and written communication skills.

Location

• In-office environment

Work Type

• Full-time

Experience Level

• Senior

Education Level

• Completion of CSC and CPH is considered an asset.

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 and 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, 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.
• 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.
• Modern HQ location within walking distance from Union Station.

Equal Opportunity

• 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.
• We are focused on building a diverse and inclusive workforce.