About the role
JOB OVERVIEW
We are currently seeking a 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.
WHAT YOU WILL DO
- Conduct daily, monthly and quarterly compliance tasks, identifying and escalating issues to ensure prompt resolution and regulatory adherence.
- Help onboard new registrants to Ptrade and approve pre-clearance requests from registrants.
- Assess gifts and entertainment requests from registrants, ensuring alignment with compliance policies, and compile detailed monthly reports for management review.
- 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.
WHAT YOU WILL BRING
- Minimum 2 years Compliance experience in an investment dealer.
- Strong verbal and written communication skills.
- Completion of CSC and CPH is an asset.
- Excellent communication skills and ability to work collaboratively with compliance teams.
- Strong analytical mindset and detailed-oriented.
- Ability to work independently and under pressure.
- Able to handle multiple tasks and priorities effectively.
About CI Financial
CI Financial is an independent company offering global asset management and wealth management advisory services. We are driven by a commitment to provide individuals and institutions with the highest-quality investments and advice—and offer a comprehensive and innovative selection of strategies and services.
Our employees are at the heart of everything we do. They must be comfortable in a fast-paced environment in an industry that is always changing. A healthy dose of ambition, a willingness to go the extra mile and a strong sense of camaraderie are what we look for in our team members.
You can find job postings for all CI Financial companies on this page.
And if you’d like to learn more about our lines of business, you can do so on the following pages: CI Global Asset Management, CI Assante Wealth Management, CI Investment Services, and CI Direct Investing.
About the role
JOB OVERVIEW
We are currently seeking a 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.
WHAT YOU WILL DO
- Conduct daily, monthly and quarterly compliance tasks, identifying and escalating issues to ensure prompt resolution and regulatory adherence.
- Help onboard new registrants to Ptrade and approve pre-clearance requests from registrants.
- Assess gifts and entertainment requests from registrants, ensuring alignment with compliance policies, and compile detailed monthly reports for management review.
- 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.
WHAT YOU WILL BRING
- Minimum 2 years Compliance experience in an investment dealer.
- Strong verbal and written communication skills.
- Completion of CSC and CPH is an asset.
- Excellent communication skills and ability to work collaboratively with compliance teams.
- Strong analytical mindset and detailed-oriented.
- Ability to work independently and under pressure.
- Able to handle multiple tasks and priorities effectively.
About CI Financial
CI Financial is an independent company offering global asset management and wealth management advisory services. We are driven by a commitment to provide individuals and institutions with the highest-quality investments and advice—and offer a comprehensive and innovative selection of strategies and services.
Our employees are at the heart of everything we do. They must be comfortable in a fast-paced environment in an industry that is always changing. A healthy dose of ambition, a willingness to go the extra mile and a strong sense of camaraderie are what we look for in our team members.
You can find job postings for all CI Financial companies on this page.
And if you’d like to learn more about our lines of business, you can do so on the following pages: CI Global Asset Management, CI Assante Wealth Management, CI Investment Services, and CI Direct Investing.