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Regulatory Compliance Officer at CI Financial
Job in
Fredericton, New Brunswick, A3A, Canada
Listed on 2026-06-29
Listing for:
CI Investments Inc.
Full Time
position Listed on 2026-06-29
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Crime
Job Description & How to Apply Below
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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