Senior Compliance Officer

4 months ago

Coeur D'Alene, United States CI Financial Full time
At CI, we see a great place to work as one that is a safe place for everyone to have a voice, where people are empowered to take ownership over meaningful work, where there is an opportunity to grow through stretching themselves, where they can work on innovative products and projects, and where employees are supported and engaged in doing so.

JOB OVERVIEW
We are currently seeking a Senior Compliance Officer, CI Wealth Compliance. In this role, the successful candidate is expected to encourage and foster a culture of compliance within the organization in accordance with securities industry rules and regulations. The incumbent will be responsible for assisting Compliance management with policy and procedures, compliance technology, and regulatory initiatives at CI's various wealth companies, including its investment firms registered provincially or under the Canadian Investment Regulatory Organization (CIRO).

WHAT YOU WILL DO
  • Provide strategic support to the Director, Compliance and Senior Management in Compliance on Compliance related matters.
  • Provide strategic input on the design, development and launch of policies and/or procedures related to business conduct compliance, trade conduct compliance and managed account supervision.
  • Support the development, implementation and continuous improvement of Compliance's related programs, technology, tools and resources designed to enable CI's investment firms to meet its regulatory requirements and achieve organizational and operational goals.
  • Act as lead on small to large compliance technology initiatives.
  • Maintain current knowledge and provide ongoing support to Compliance applications.
  • Provide guidance and training to Compliance and Operational teams, and sometimes directly to advisors and branch staff.
  • Testing to ensure system integrity.
  • Be a subject matter expert on firm's systems.
  • Complete other duties and projects as may be assigned by Director.
WHAT YOU WILL BRING
  • Minimum 5 years securities industry experience
  • Experience with IIROC and MFDA
  • University or college degree (or equivalent experience)
  • Completion of applicable securities industry courses offered by the Canadian Securities Institute including Canadian Securities Course and Conduct and Practices Handbook, Supervision courses
  • Demonstrated knowledge and understanding of the relevant securities legislation and SRO rules and regulations
  • Previous project management experience considered a strong asset
  • Strong critical thinking skills
  • Ability to work independently and under pressure
  • Effective communication and articulation skills
  • Strong conflict resolution, organizational, and communication skills
  • Extensive knowledge of MS Office applications including as Word, Excel, Power Point and Outlook
  • Familiarity and experience working with common securities transaction processing systems
WORKING CONDITIONS
  • Travel not required
WHAT YOU CAN EXPECT FROM US

Our dedication to the Employee Experience at CI is aimed at supporting, empowering and inspiring our talented team through:
  • Recognition & Compensation
  • Training & Development
  • Health & Well-being
  • Communication & Feedback
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. 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.

WHAT WE OFFER
  • Modern HQ location within walking distance from Union Station
  • Flexible & Hybrid Work Program
  • Equipment Purchase Program
  • Training Reimbursement
  • Paid Professional Designations
  • Employee Share Purchase Program (ESPP)
  • Corporate Discount Program
  • Enhanced group benefits
  • Parental Leave Top-up program
  • Fitness membership discounts
  • Volunteer paid Days
  • Complimentary vending machines


We are focused on building a diverse and inclusive workforce. If you are excited about this role and are not confident you meet all the qualification requirements, we encourage you to apply to investigate the opportunity further.

Please submit your resume in confidence by clicking "Apply". Only qualified candidates selected for an interview will be contacted. 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 [redacted], or call [redacted] ext. 4747.

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