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About the Role

Review, supervise, and coordinate the approval of CI Assante Advisor advertising, sales literature, and correspondence. Support advisors with marketing initiatives by 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.
• Maintain exemplary service to CI Assante Advisors by educating and supporting them and their staff on regulatory and internal policies & procedures.
• Ensure advisor initiatives are consistent with CI Assante business and brand standards.
• Ensure advisors implement required revisions and secure approval prior to print or electronic dissemination.
• Act independently, conduct relevant research, and arrive at conclusions.
• Conduct compliance review in a high-quality, risk-based manner.
• Proactively identify, investigate, resolve, and/or escalate violations of regulatory requirements and internal policies & procedures that create risk for the advisor, CI Assante dealers, and the CI Assante brand.
• Minimize compliance risk, reputational damage, client complaints, civil litigation, and other risk situations.
• Liaise with internal departments for business, design, and branding review professionally and collaboratively.
• Communicate with advisors in a timely and professional manner, providing direction and recommendations on corrective action.
• Work closely with other Compliance Officers and Compliance Management to secure approvals.
• Coordinate the tracking and distribution of incoming requests.
• Maintain accurate internal files and complete records for review and reference in a regulatory and internal audit setting.
• Maintain a high level of awareness of compliance-related changes and developments in the securities industry.
• Complete other duties and projects as assigned, including acting as back-up to colleagues.

Requirements

• 2 or more years working at a securities dealer, mutual fund dealer, or a 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.
• Capable of simultaneously handling multiple tasks and meeting stringent deadlines in a fast-paced and high-volume environment.
• Superior planning, organizational, and time-management skills.
• Strong analytical skills and a keen eye for detail.
• Exceptional customer service skills and ability to build strong rapport with financial advisors and internal corporate 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 both independently and in a team environment with a commitment to continuous improvement.

Skills

• Microsoft Office (Word, PowerPoint, Excel)
• Adobe Acrobat
• Nitro Pro
• Internet
• Social media
• Financial advisory business understanding
• Securities and SRO rules and regulations knowledge
• Business, compliance, and regulatory guidelines interpretation
• Handling sensitive and confidential information
• Bilingualism in French and English (asset)

Location

• Onsite

Work Type

• Onsite (four days per week)
• Full-time

Experience Level

• 2+ years of experience in a securities dealer, mutual fund dealer, or financial industry related firm
• 1-2 years of financial industry experience

Education Level

• University degree or college diploma in a relevant subject area or equivalent work experience
• CSC, CPH, and Branch Manager Course (asset)

Salary/Compensations

• $55,000 to $71,000
• Eligible for 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.
• Founded in 1965, CI consistently anticipates and responds to the changing needs of investors.
• Driven by a commitment to provide individuals and institutions with the highest-quality investments and advice.
• Employees must be comfortable in a fast-paced environment that will stretch them to tap into their highest potential.
• Employees with ambition, a curious mindset for continuous learning, and a willingness to go the extra mile thrive at CI.
• Offers an in-office environment, competitive benefits, and a supportive workplace.
• 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.