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CI Financial

Canadian asset manager growing through acquisitions

Senior Compliance Officer

Regulatory Compliance & EthicsUpdated on Nov 13
Full-timeToronto, ON, Canada

About the Job

Requirements

  • A minimum of 2 years of compliance experience in an investment dealer is required, along with working knowledge of UMIR and CIRO rules.
  • Strong verbal and written communication skills are required.
  • Completion of CSC and CPH is considered an asset.
  • The candidate must be able to collaborate effectively with compliance teams and stakeholders.
  • The candidate must have an analytical mindset and attention to detail.
  • The candidate must be able to work independently and perform well under pressure.
  • The candidate must be able to manage multiple tasks and priorities in a fast-paced environment.

Responsibilities

  • Conduct daily, monthly, and quarterly compliance tasks in accordance with internal procedures and regulatory requirements, identifying and escalating issues to ensure prompt resolution and regulatory adherence.
  • Monitor employees' trading and approve pre-clearance trade requests.
  • Review and analyze registrants' personal trading activities across internal and external trading accounts.
  • Conduct comprehensive quarterly Trade Desk reviews and prepare detailed quarterly reports summarizing findings.
  • Prepare and submit regulatory reports, including marker correction, ISG request, and gatekeeper reports.
  • Monitor the Compliance email inbox and Salesforce channel and respond to inquiries from other departments.

About the Company

CI Financial

Canadian asset manager growing through acquisitions

CI Financial builds and runs investment management and wealth-advisory platforms through a network of subsidiaries that manage assets and provide investment products and advisory services to individuals and institutions. Its platforms are advisor-facing, helping independent financial advisors and RIAs offer mutual funds, managed accounts, and other wealth-management services. The company differentiates itself by growing through acquisitions, creating a large, integrated footprint in Canada and the United States. Its goal is to scale into a leading diversified financial-services group serving a broad adviser network, a strategy that culminated in Mubadala Capital taking the company private in 2024.

Company size
1,001-5,000
Company stage
IPO
Headquarters
Toronto, Canada
Founded
1965

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