Senior Compliance Officer

CI Financial•Toronto, ON

22h•CA$55,000 - CA$95,000•Hybrid

About The Position

We are currently seeking a Senior Compliance Officer to join our Compliance team. In this role, the successful candidate is expected to assist in the regulatory Compliance program for the Investment Fund Manager and Exempt Market Dealer. In particular, 81-105 sales practices and 81-102 sales communication and marketing and communications. Provide a range of compliance support services to sales, marketing, institutional business and back-office operations.

Requirements

Superior analytical skills, capable of advising across a range of compliance matters
Post-secondary education plus Canadian Securities Course (CSC), the Conduct and Practices Handbook (CPH) or other industry related designations an asset.
Thorough working knowledge of National Instruments 81-102, 81-105 and at least 3 years working experience in a mutual fund manager compliance department
In depth knowledge of the financial industry including investment fund regulations and applicable National Instruments
Strong communication skills, verbal and written
Ability to multi-task and work effectively and efficiently in a fast-paced, frequently changing environment
Proficient in understanding, identification, and assessment of internal controls for the purposes of assessing the effectiveness of their design

Nice To Haves

Experience in Salesforce, Concur, Tableau software an asset
Experience in providing training to a large group of Sales staff

Responsibilities

Coordinate directly with wide range of stakeholders across the organization to resolve issues, as required
Apply policies and regulatory rules to respond to compliance related inquiries
Assist in creation and documentation of new processes and procedure for new compliance initiatives and controls, ensuring applicable securities law and National Instrument rules are adhered to.
Assist in the creation of new policies and guidelines to reflect new or changing regulatory/industry standards or corporate developments.
Participate and lead special projects, as needed
Support in the review of all product and wholesaling marketing and sales communications materials, including (but not limited to) the below for adherence to applicable policies and regulations: Advisor and investor-facing materials, Website content, Product profile sheets
Support in maintaining sales communication checklists for retail and institutional sales as they relate specifically to investment fund products/content
Support in the review of retail sales practices activities relating to the adherence of regulatory requirements and internal policies and guidelines.
Support in maintaining sales practices policy and guidelines as well as training contents and materials.