Regulatory Compliance Officer at CI Financial

Advance your career as a Regulatory Compliance Officer at CI Financial Corp., focusing on managing complaints and internal investigations. This role involves ensuring compliance while working primarily onsite.

The Compliance Officer will play a crucial role in assessing Reportable Matters, reporting complaints as mandated by regulatory agencies, and preparing comprehensive investigation reports. Candidates must demonstrate strong analytical skills and have a minimum of five years of industry experience. Collaboration with various stakeholders is essential to effectively resolve issues in a compliant manner.

Key Responsibilities:

• Assess if CRI Team involvement is necessary for cases

• Ensure timely complaint reporting to CIRO and AMF

• Prepare and document thorough internal investigation reports

• Draft response letters for compliance review process

• Engage with various departments for issue resolution

Requirements:

• Post-secondary education along with CSC or CPH qualifications

• 5+ years of experience in the investment sector

• In-depth knowledge of CIRO regulations and compliance

• Proven track record in complaint management

• Proficient in Microsoft Office programs

Leverage your compliance skills at CI Financial to enhance the integrity of our operations.
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