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About the Role
The Senior Compliance Officer oversees the conduct and business practices of insurance Advisors directly contracted with Assante Estate and Insurance Services Inc. (“AEIS”). The role provides compliance oversight for both life insurance and segregated fund business, helping ensure that Advisors meet applicable regulatory requirements, carrier expectations, and AEIS policies and procedures while supporting the organization’s business needs.
Responsibilities
- Coach and mentor Compliance team members on market conduct and Advisor suitability matters.
- Serve as a resource and escalation point for questions or concerns arising from Advisor and firm practice reviews, investigations, and market conduct matters.
- Help develop, maintain, promote, and audit policies and procedures that align with ethical standards, insurance regulatory requirements, and relevant industry guidance.
- Promote Advisor awareness of legal and regulatory obligations and AEIS policies and procedures through mandatory education, compliance questionnaires, and knowledge testing.
- Identify areas of regulatory vulnerability and help develop review mechanisms and controls to mitigate related risks.
- Provide compliance guidance to internal departments as requested or required.
- Participate in projects involving risk management, compliance, anti-money laundering, anti-terrorist financing, and privacy standards.
- Support the preparation and completion of the CLHIA MGA Compliance Review Survey for insurance carriers.
- Assist Advisors with practice reviews conducted by carriers and regulators.
- Support the Registrations Team in screening prospective Advisors and monitoring their ongoing suitability after contracting.
- Help ensure AEIS remains current on provincial regulatory requirements, proposed changes, and industry initiatives, including those introduced by the CLHIA.
- Review sales communications before circulation, as required.
Requirements
- At least 5-7 years of experience in the financial services industry.
- At least 3-5 years of experience in a regulatory compliance role.
- Excellent knowledge of provincial insurance laws and regulations.
- Working knowledge of applicable federal legislation, including PIPEDA and anti-money laundering and anti-terrorist financing requirements.
- Strong aptitude for regulatory and legal research.
- A collaborative working style and demonstrated ability to contribute positively to team culture and shared success.
- Excellent written and verbal communication skills.
- Proven ability to build and maintain collaborative, productive working relationships.
- Advanced English-language proficiency, including the ability to communicate effectively with regulators and insurance industry stakeholders across Canada.
Skills
- Market conduct
- Advisor suitability
- Risk management
- Compliance
- Anti-money laundering
- Anti-terrorist financing
- Privacy standards
- Regulatory monitoring
- Sales communications review
Location
- Onsite
Work Type
- In-office
- Full-time
Experience Level
- Senior
- 5-7 years in financial services
- 3-5 years in regulatory compliance
Education Level
- Post-secondary degree or diploma in business, accounting, law, or a related discipline preferred.
- LLQP completion preferred.
- Other relevant industry courses or licenses preferred.
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
- 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 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.
- Our commitment to the highest levels of performance means that whatever their position, CI employees must be comfortable in a fast-paced environment that will stretch them to tap into their highest potential.
- 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.