Jobs
>
Toronto

    Senior Compliance Officer - Toronto, Canada - CI Financial

    CI Financial
    CI Financial Toronto, Canada

    2 weeks ago

    Default job background
    Full time
    Description

    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.

  • CIBC

    Senior Compliance Officer SWAP Dealer

    2 weeks ago

    CIBC Toronto, Canada Temps plein

    Nous bâtissons une banque axée sur les relations pour un monde moderne. Nous recrutons des professionnels talentueux et passionnés qui ont à cœur de faire ce qu'il faut pour nos clients. · À la Banque CIBC, nous misons sur vos forces et vos ambitions pour vous donner le pouvoir ...

  • Larson Maddox

    Compliance Officer

    2 weeks ago

    Larson Maddox Toronto, Canada

    An alternative investment firm is seeking a Compliance Officer to join their Global Regulatory and Compliance team. In this role, you will play a pivotal part in assisting with various regulatory activities both at the organizational level and for investment vehicles. This positi ...

  • CI Financial

    Compliance Officer

    2 weeks ago

    CI Financial Toronto, Canada 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 pro ...

  • Bloom Finance Company Ltd.

    Compliance Officer

    3 weeks ago

    Bloom Finance Company Ltd. Toronto, ON, Canada

    About Bloom: Bloom is a leading Canadian fintech company specializing in reverse mortgages. As a licensed mortgage brokerage and administrator operating in Ontario, British Columbia, and Alberta, and in partnership with OSFI-regulated financial institutions, Bloom offers innovati ...

  • Société Financière Manuvie

    Sales communications compliance officer

    2 weeks ago

    Société Financière Manuvie Old Toronto, Canada

    Nous sommes un fournisseur de services financiers qui s'emploie à faciliter les décisions de nos clients et de nos collègues partout dans le monde et à les aider à vivre mieux. De nos initiatives environnementales à nos investissements dans la collectivité, nous montrons la voie ...

  • Bantrel Co.

    Environmental Compliance Officer

    2 weeks ago

    Bantrel Co. Toronto, Canada Full time

    Job Description · We are currently seeking a qualified Environmental Compliance Officer to join our Infrastructure team, based out of Toronto, ON. The Environmental Compliance Officer will be responsible for supporting the Environmental Compliance programs and providing technical ...

  • CI Financial

    Compliance Officer, Surveillance

    2 weeks ago

    CI Financial Toronto, Canada Full time

    JOB OVERVIEW · We are currently seeking a Compliance Officer, Surveillance to join our Compliance team. In this role, the successful candidate is expected to monitor client account activity of Assante advisors in accordance with internal procedures and regulatory requirements and ...

  • CI Financial

    Bilingual Compliance Officer

    4 days ago

    CI Financial Toronto, Canada 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 pro ...

  • CI Financial

    Bilingual Compliance Officer

    1 day ago

    CI Financial toronto, Canada

    Job Overview · We are currently seeking a Compliance Officer, Registrations (Bilingual) to join our Compliance/Registrations Department. The Registration Department is responsible for the management / administration of licensing and registration for the affiliated member firms of ...

  • CI Financial

    Compliance Officer, Surveillance

    2 weeks ago

    CI Financial Toronto, Canada Full time

    Job Description · WHAT YOU WILL DO · -Conduct, monitor and document daily and monthly head office reviews of client account activity with a focus on criteria outlined in CIRO (mutual fund dealer and investment dealer) rules, other regulations, and corporate guidelines and polici ...

  • CI Financial

    Senior Compliance Officer

    2 weeks ago

    CI Financial Toronto, Canada

    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 pro ...

  • CI Financial

    Senior Compliance Officer

    2 weeks ago

    CI Financial Toronto, Canada 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 pro ...

  • BMO Financial Group

    Senior compliance officer, canadian personal

    3 weeks ago

    BMO Financial Group Toronto, ON, Canada $74,800 - $138,600

    Date limite pour présenter sa candidature : · 05/28/2024 Adresse : · 100 King Street West Groupe de famille d'emploi : · Audit, gestion des risques et conformité This is a hybrid role, with a requirement to be in the Toronto office (First Canadian Place) 2-3 days a week. · ...

  • Canadian Investment Regulatory Organization

    Compliance Officer

    2 weeks ago

    Canadian Investment Regulatory Organization Old Toronto, Canada

    40 Temperance Street · Suite 2600 · Toronto, ON M5H0B4, CAN · Description · Position Title: Compliance Officer (MFD) · Department: Business Conduct Compliance · Region: Toronto · Status: Permanent Full-time (Hybrid) · CIRO is the national self-regulatory organization that over ...

  • Enable

    Compliance Officer

    2 weeks ago

    Enable Old Toronto, Canada

    At Enable, we believe rebates are the best way for companies within the supply chain to create, maintain and grow their trading relationships. Rebates allow trading partners to make the best decisions for their businesses, meaning everyone wins: manufacturers, distributors, retai ...

  • HR à la carte

    Compliance Officer

    2 weeks ago

    HR à la carte Old Toronto, Canada

    We are seeking a Compliance Officer with strong business acumen and objectivity to join our dynamic team and be a part of one of Canada's fastest growing exchange traded fund ("ETF") providers. · Hamilton ETFs offers:A competitive compensation package including comprehensive heal ...

  • Hr A La Carte

    Compliance Officer

    2 weeks ago

    Hr A La Carte Old Toronto, Canada

    We are seeking a Compliance Officer with strong business acumen and objectivity to join our dynamic team and be a part of one of Canada's fastest growing exchange traded fund ("ETF") providers. Hamilton ETFs offers: * A competitive compensation package including comprehensive hea ...

  • CI Financial

    Compliance Officer, Surveillance

    4 weeks ago

    CI Financial Toronto, ON, Canada

    JOB OVERVIEW We are currently seeking a Compliance Officer, Surveillance to join our Compliance team. In this role, the successful candidate is expected to monitor client account activity of Assante advisors in accordance with internal procedures and regulatory requirements and t ...

  • CI Financial

    Senior Compliance Officer

    2 weeks ago

    CI Financial Toronto, Canada

    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 pro ...

  • Enable

    Compliance Officer

    2 weeks ago

    Enable Old Toronto, Canada

    Your full LinkedIn profile will · be shared. Learn more · File exceeds the maximum upload size of 100MB. Please try a smaller size. · Full name ✱ · Pronouns · He/him · She/her · They/them · Xe/xem · Ey/em · Hir/hir · Fae/faer · Hu/hu · Use name only · Custom · Let th ...