Senior Compliance Officer

CI Financial•Toronto, ON

4d•CA$55,000 - CA$95,000•Onsite

About The Position

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. We are currently seeking a Senior Compliance Officer to join our Compliance team. In this role, the successful candidate is expected to conduct compliance tasks in accordance with internal procedures and regulatory requirements, and to be heavily involved in trading surveillance in multiple entities within CI Wealth Management.

Requirements

Minimum 2 years Compliance experience in an investment dealer, with working knowledge of UMIR and CIRO rules.
Strong verbal and written communication skills.
Proven ability to collaborate effectively with compliance teams and stakeholders.
Strong analytical mindset and detailed-oriented.
Ability to work independently and perform well under pressure.
Demonstrated ability to manage multiple tasks and priorities in a fast-paced environment.

Nice To Haves

Completion of CSC and CPH is considered an asset.

Responsibilities

Conduct daily, monthly and quarterly compliance tasks, identifying and escalating issues to ensure prompt resolution and regulatory adherence.
Monitor employees' trading and approve pre-clearance trade requests.
Review and analyze personal trading activities for registrant across internal and external trading accounts.
Conduct comprehensive quarterly Trade Desk review and prepare detailed quarterly reports summarizing findings.
Prepare and submit regulatory reports including marker correction, ISG request, gatekeeper reports etc.
Monitor Compliance email box and Salesforce channel and respond to inquiries from other departments.