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About the Role

Assist in the regulatory Compliance program for the Investment Fund Manager and Exempt Market Dealer, focusing on sales practices and communications. Provide compliance support to sales, marketing, institutional business, and back-office operations.

Responsibilities

• Coordinate with stakeholders to resolve issues.
• Apply policies and regulatory rules to inquiries.
• Assist in creating and documenting new processes and procedures for compliance initiatives.
• Assist in creating new policies and guidelines.
• Participate and lead special projects.
• Support the review of product and wholesaling marketing and sales communications materials.
• Support the maintenance of sales communication checklists.
• Support the review of retail sales practices activities.
• Support the maintenance of sales practices policy and guidelines, and training materials.

Requirements

• Superior analytical skills.
• Thorough working knowledge of National Instruments 81-102, 81-105.
• At least 3 years of working experience in a mutual fund manager compliance department.
• In-depth knowledge of the financial industry, including investment fund regulations and applicable National Instruments.
• Proficient in understanding, identification, and assessment of internal controls.

Skills

• Strong communication skills, verbal and written.
• Experience in Salesforce, Concur, Tableau software an asset.
• Experience in providing training to a large group of Sales staff.
• Ability to multi-task and work effectively and efficiently in a fast-paced, frequently changing environment.

Location

• Onsite

Work Type

• In-office
• Full-time

Experience Level

• Senior
• 3+ years

Education Level

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

Equal Opportunity

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