Compliance Officer - Registrations

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. 

We are seeking a detail-oriented and collaborative Compliance Officer to join our Registrations team. The Compliance Officer, Registrations is responsible for the administration and oversight of registration and licensing activities for registered individuals and the firm. This role ensures compliance with CIRO, provincial securities commission, and internal regulatory requirements while providing guidance and support to advisors, branch management, and business partners.

The successful candidate will possess strong regulatory knowledge, exceptional attention to detail, and the ability to manage multiple priorities in a fast-paced environment.

WHAT YOU WILL DO:

• Process registration, licensing, and termination requests through the National Registration Database (NRD).
• Review registration applications to ensure accuracy, completeness, and regulatory compliance.
• Monitor registration requirements and licensing renewals across all jurisdictions.
• Support Advisor onboarding.
• Conduct reviews of advisor disclosures, including outside activities, criminal disclosures, and other regulatory matters.
• Liaise with CIRO, provincial securities regulators, and internal stakeholders regarding registration matters.
• Maintain accurate registration records and documentation.
• Support the preparation and submission of regulatory filings and notices.
• Respond to licensing and registration inquiries from advisors, and internal departments.
• Identify process improvements and contribute to departmental projects and initiatives.
• Monitor regulatory developments and assist with implementing changes to registration-related policies and procedures.

WHAT YOU WILL BRING:

• University degree or college diploma
• Minimum 2-3 years of experience in securities registration, licensing, compliance, or a related regulatory environment.
• Working knowledge of CIRO rules, securities legislation, and the National Registration Database (NRD).
• Strong understanding of registration categories and proficiency requirements.
• Excellent analytical, organizational, and problem-solving skills.
• Strong written and verbal communication skills.
• High degree of accuracy and attention to detail.
• Proficiency with Microsoft Office applications, particularly Excel, Outlook, and Word.
• Ability to manage competing priorities and meet regulatory deadlines.

KEY COMPETENCIES:

• Regulatory and compliance knowledge
• Critical thinking and sound judgment
• Attention to detail
• Time management and organization
• Relationship-building and collaboration
• Accountability and professionalism
• Customer service orientation
• Continuous improvement mindset

This role follows our in office work model and requires employees to be onsite four days per week to support collaboration and business needs.

This opportunity is for an existing vacancy with the company. The anticipated base salary range for this position is $50,000 to $71,000. Exact salary depends on several factors such as experience, skills, education, and budget. Salary range may vary based on geographic location. In addition to base salary, this position is eligible for participation in a bonus program. In addition, The Company offers a variety of benefits to eligible employees, including health insurance coverage, wellness programs, life and disability insurance, retirement savings plans, paid leave programs, education-related programs, paid holidays and vacation time, and many others. Many of these benefits are subsidized or fully paid for by the company.  

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 [email protected], or call 416-364-1145 ext. 4747.