Regulatory Compliance Officer

Position: Regulatory Compliance Officer at CI Financial
Step into a vital role with CI Financial Corp as a Regulatory Compliance Officer specializing in complaints and investigations. This role requires in-office attendance four days a week, promoting collaboration on important tasks.

Your primary responsibilities include assessing reportable matters and preparing detailed internal investigation reports to support compliance initiatives. You will oversee the regulatory filing process and draft response letters for management review. Effective communication with legal and compliance teams will be essential to resolve concerns promptly.

Key Responsibilities:

• Complete assessments for required CRI Team involvement

• Ensure timely regulatory reporting to CIRO and AMF

• Prepare internal reports capturing investigation details

• Craft substantive responses to stakeholders

• Collaborate with various regulatory partners

Requirements:

• Relevant post-secondary education and industry designations

• Minimum 5 years of experience in compliance

• Strong understanding of CIRO and CSA regulations

• Excellent communication abilities, verbal and written

• Advanced MS Office skills are required

Bring your compliance expertise to CI Financial Corp and excel in a supportive work environment.
#J-18808-Ljbffr