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About the Role

Ensure that business conducted in branch/sub-branch office locations under their supervision by registered individuals, non-registered branch personnel and any applicable agents on behalf of CI Assante Wealth Management Ltd. is in compliance with applicable securities regulatory requirements as well as internal supervisory and compliance policies and procedures.

Responsibilities

• Overall supervisory responsibility for an assigned group of AWM registered individuals and branch/sub-branch office locations.
• Approval of all new accounts, New Account Application Forms and related required documentation.
• Ensure registered individuals are properly registered and conduct activities within their registration scope.
• Monitor registered individuals during training, supervision, and close supervision periods.
• Complete and provide evidence of daily and monthly trade and account reviews.
• Report significant client service issues, allegations of wrongdoing, and complaints to Head Office Compliance immediately.
• Provide ongoing education and training to registered and non-registered representatives.
• Ensure all client and branch files are current and contain required documents.
• Control access to supervisory records and files to ensure client confidentiality.
• Conduct periodic visits with sub branch locations.
• Report regularly to DCCO on branch supervision effectiveness, supervisory challenges, branch examinations, inquiries from Securities Commissions, and client complaints/lawsuits.

Requirements

• Minimum 5 years securities industry experience.
• Minimum 2 years’ experience as a Branch Manager or Compliance Officer with a CIRO dealer firm.
• Experience with a securities commission or self-regulatory organization is an asset.
• CIRO licensed or will be required upon hire (subject to regulatory approval).
• Completion of applicable securities industry courses offered by the Canadian Securities Institute or by CIRO.
• Demonstrated knowledge and understanding of relevant securities legislation and SRO rules and regulations.
• Extensive knowledge of MS Office applications (Word, Excel, Power Point, Outlook).
• Familiarity and experience working with common securities transaction processing systems, including RPM.
• Ability to work independently and under pressure.
• Strong conflict resolution, organizational, and communication skills.

Skills

• MS Office applications
• Securities transaction processing systems (RPM)
• Conflict resolution
• Organizational skills
• Communication skills

Location

• In-office environment

Work Type

• Full-time
• Onsite

Experience Level

• Minimum 5 years securities industry experience
• Minimum 2 years’ experience as a Branch Manager or Compliance Officer

Education Level

• Undergraduate degree
• Completion of applicable securities industry courses

Benefits

• 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.
• 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.