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.
We are currently seeking a Compliance Officer to join our Sales Communications team. In this role, the successful candidate is expected to review, supervise and coordinate for approval Assante Advisor advertising, sales literature and correspondence. This involves working directly with the Advisors to support them with their marketing initiatives by ensuring adherence to securities regulatory requirements, internal policies & procedures, and Assante branding and business standards.
WHAT YOU WILL DO
- Review and coordinate the approval of all client and public oriented advisor sales communications to include but not limited to advertisements, stationery, signage, newsletters, client letters, brochures, presentations, events, websites, social media and other digital advertising.
- Maintain an exemplary service to Assante Advisors by educating and supporting them and their staff on regulatory and internal policies & procedures, and ensures that their initiatives are consistent with Assante business and brand standards.
- Ensures that advisors implement required revisions and approval is secured prior to print or electronic dissemination.
- Acts independently, conducts relevant research and arrives at conclusions and/or Conducts compliance review in a high-quality, risk-based manner.
- Proactively identifies, investigates, resolves and/or escalates any actual and potential violations of regulatory requirements and internal policies & procedures as they concern creating risk for the advisor, Assante dealers, and the integrity of the Assante brand.
- Strives to minimize compliance risk, reputational damage, client complaints, civil litigation, and other risk situations.
- Liaises with internal departments for business, design and branding review in a professional and collaborative manner.
- Communicates with advisors in a timely and professional manner, and effectively provides direction and recommendations on the appropriate corrective action.
- Works closely with other Compliance Officers and Compliance Management to secure approvals.
- Coordinates the tracking and distribution of incoming requests.
- Maintains accurate internal files and complete records for review and reference in a regulatory and internal audit setting.
- Maintains a high level of awareness of compliance related changes and developments in the securities industry through the review of publications, participation in industry associations, employee development initiatives, etc.
- Completes other duties and projects as assigned from time to time including, but not limited to, acting as back-up to colleagues.
WHAT YOU WILL BRING
- 2 or more years working at a securities dealer, mutual fund dealer or a financial industry related firm, preferably in a similar role.
- 1-2 years of financial industry experience
- University degree or college diploma in a relevant subject area or equivalent work experience.
- CSC, CPH, and Branch Manager Course are an asset, or willingness to complete these courses.
- Excellent written and verbal business communication skills.
- Capable of simultaneously handling multiple tasks and meeting stringent deadlines in a fast paced and high-volume environment.
- Superior planning, organizational and time-management skills.
- Strong analytical skills and a keen eye for detail.
- Exceptional customer service skills and ability to build strong rapport with financial advisors and internal corporate staff.
- Ability to work independently with minimal supervision.
- Proficiency in Microsoft Office (Word, PowerPoint, Excel).
- Good knowledge of other software applications (Adobe Acrobat, Nitro Pro), the internet and social media.
- Solid understanding of the financial advisory business.
- Knowledge, understanding, and the practical application of relevant provincial securities and SRO (CIRO, AMF, Exchanges) rules and regulations and other applicable regulatory requirements.
- Ability to interpret and apply business, compliance and regulatory guidelines.
- Ability to recognize and handle sensitive and confidential information
- Self-motivated, confident and capable of working both independently and in a team environment with a commitment to continuous improvement.
- Bilingualism in French and English is an asset.
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.
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
- Fitness Membership Discounts
- Paid Volunteer Day
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.
