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    Compliance Officer, Registrations - Toronto, Canada - CI Financial

    CI Financial
    CI Financial Toronto, Canada

    1 week ago

    Default job background
    Accounting / Finance
    Description

    JOB OVERVIEW:

    We are currently seeking a Compliance Officer, Registrations (Insurance & Continuing Education) 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 registered with the Canadian Investment Regulatory Organization (CIRO), the national self-regulatory organization that oversees all investment dealers, the provincial securities commissions, the Autorite des Marches Financiers (AMF), provincial insurance councils and where applicable US State Securities Regulators. Registration Officers facilitate all aspects of registration/licensing for individuals and all member firms.

    With respect to Insurance the Compliance Officer will be responsible for the filing of insurance license applications, with provincial insurance councils and the Autorite des marches financiers (AMF) on behalf of agents representing Assante Estate and Insurance Services Inc. (AEIS).

    With respect to Continuing Education the Compliance Officer will be responsible for ensuring that Approved Persons of the firm(s) meet their Continuing Education (CE) obligations imposed by CIRO and the AMF and avoid regulatory penalties (Registrant suspensions and fines)

    WHAT YOU WILL DO:

    • Obtain agent, agency and corporate insurance license for individual agents, and corporations.
    • File insurance of persons attachment, amendment, and withdrawal applications with the Autorite Des marches Financiers (AMF).
    • Track insurance licensing renewal dates and work with representatives to ensure timely renewal of licenses and compliance with CE requirements.
    • Maintain accurate insurance licenses in the firm's internal database and the National Registration Database system.
    • Keep abreast of provincial insurance/compliance laws and changes.
    • Communicate regulatory changes and/or requirements to the various stakeholders.
    • Prepare internal CE activity materials for assessment for CIRO CE credits and other regulatory body CE credits, where appropriate.
    • Add CE accreditation results and track third-party CE credits accumulated by the registrants on an internal database (AADB).
    • Screen and evaluate content submitted by internal clients to determine if is applicable/acceptable for CE Credits
    • Report CE completions for registrants on the various online reporting systems (CIRO/IIROC Services; CE Reporting and Tracking System – 'CERTS')
    • Submit all CE Credit applications to the regulatory bodies. This includes submission, receipt, tracking, correspondence, finance, and handling of inquiries from the regulatory bodies.
    • Work with event team to issue credits for the firm's large accredited corporate events.
    • Maintain accurate files on Outlook as well as within the Registration Department's online shared folders.
    • Manage all email inquiries received into the CE Help mailboxes and any telephone inquiries in a timely manner.
    • Maintain and update the CE Policies and Procedures.
    • Track and report on CE credit submissions, including monitoring volume, costs and identify any changes in requirements or regulations impacting submissions.
    • Pull data feeds, update spreadsheets, and post information on internal sites.

    WHAT YOU WILL BRING:

    • Minimum 2 years' experience with insurance licensing and securities registrations working with various Insurance Agencies and/or CIRO Member firms
    • Extremely detailed oriented with strong organizational, time management and analytical skills.
    • Proficient in completing accurate, clear, and concise documentation.
    • Excellent communication skills, both written and verbal.
    • Ability to work independently.
    • Ability to manage highly sensitive, time sensitive and confidential information.
    • Proficient in Computer skills (MS Office and Internet).
    • High School diploma required, post-secondary education or training in insurance business, finance or related discipline would be an asset
    • Completion of the LLQP or Insurance licensing course would also be an asset

    WHAT YOU WILL BRING

    • Enthusiasm/passion
    • Eye for detail
    • Organizational Skills
    • Team player
    • Ability to multi-task effectively

    WHAT YOU CAN EXPECT FROM US

    • Collaborative and friendly team environment
    • Opportunities to develop and grow within the company
    • Health and Wellness programs including corporate fitness membership and nutritional seminars
    • Modern, conveniently located facilities

    WORKING CONDITIONS

    • Office environment and Work from Home.
    • Regular working hours, 8:30 a.m. – 5:00 p.m.
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