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 Manager, 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 of Assante with Policy, Compliance Technology and Firm Initiatives at Assante’s two dealerships, Assante Financial Management (AFM) and Assante Capital Management (ACM), members of the Canadian Investment Regulatory Organization (CIRO)     WHAT YOU WILL DO

• Provide strategic support to Assante’s Director of Compliance and other Assante Senior Management Compliance members on Assante Compliance related matters.
• Provide strategic input on the design, development of policies and/or procedures related to Assante Sales Compliance and Managed Account Supervision.
• Support the development, implementation and continuous improvement of Assante Compliance’s related programs, technology, tools and resources designed to enable Assante 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 team.
• Testing to ensure system integrity.
• Completes other duties and projects as may be assigned by Director.

WHAT YOU WILL BRING

• Minimum 5 years securities industry experience
• Experience with CIRO
• University or college degree (or equivalent experience)
• Completion of applicable securities industry courses offered by the Canadian Securities Institute including Canadian Securities Course and Conducts and Practices Handbook Course.
• 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, including but not limited to RPM

      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.    A Supportive Environment for Success We offer an in-office environment, competitive benefits, and a supportive workplace to help our employees thrive both personally and professionally.   WHAT WE OFFER

• Modern HQ location within walking distance from Union Station
• Training Reimbursement
• Paid Professional Designations
• Employee Savings Plan (ESP)
• Corporate Discount Program
• Enhanced group benefits
• Parental Leave Top–up program
• Paid time off for Volunteering

  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.     Please submit your resume in confidence by clicking “Apply”. Only qualified candidates selected for an interview will be contacted. CI Financial Corp. and all of our affiliates (“CI”) are committed to fair and accessible employment practices and provide reasonable accommodations for persons with disabilities. If you require accommodations in order to apply for any job opportunities, require this posting in an additional format, or require accommodation at any stage of the recruitment process please contact us at accessible.recruitment@ci.com, or call 416-364-1145 ext. 4747.