Bilingual Senior Compliance Officer, Branch Audit

Bilingual Senior Compliance Officer, Branch Audit page is loaded## Bilingual Senior Compliance Officer, Branch Audit locations: CDA ON Head Office - 15 Yorktime type:
Full time posted on:
Posted 3 Days Agojob requisition  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 Bilingual Senior Compliance Officer, Branch Audit to join our Compliance team. In this role, the successful candidate is expected to conduct branch audits across Canada and facilitate branch Professional Development Training (PD days) presenting compliance topics to CI Assante Branch Managers, Advisors and staff.
** WHAT YOU WILL DO
*** Travel to assigned CI Assante Branches and identify, address and overcome regulatory compliance deficiencies within the branch environment.
* Help Advisors/branches solve problems and implement solutions designed to foster client trust and help build the Advisor's business.
* Help Advisors/branches identify regulatory deficiencies and correct compliance gaps through the delivery of education/training and practical solutions to their business objectives.
* Work closely with Branch Managers to support the delivery of ongoing training and education.
* Create and complete audit reports based on audit findings and follow up on deficiencies identified in the reports.
* Provide compliance training through Professional Development Training (PD days) and branch meetings.
* Keep abreast of changes to departmental procedures, firm policies, in-house compliance and supervisory manuals and rules, regulations and requirements of securities regulatory authorities and self-regulatory organizations of which Assante's dealer member firms are members.
* Work to continually improve product and compliance knowledge by completing industry courses, participating in seminars, workshops and conferences, proactively reading internal publications, industry news and media releases, and sharing information and ideas with peers.
* The role is based in Toronto but will require extensive travel to branches (70% travel).
** WHAT YOU WILL BRING
*** University degree/college diploma/ or equivalent experience
* Previous compliance experience in dealership setting (CIRO)
* Fully proficient in French
* 2 - 4 years' experience within Financial Services in sales, support or supervisory role
* Demonstrated knowledge and understanding of the relevant securities legislation and SRO rules and regulations.
* Extensive knowledge of MS Office applications including as Word, Excel, Power Point and Outlook
* Canadian Securities Course (CSC) and the Conduct and Practices Handbook (CPH) or other industry related designations an asset.
* Branch Manager Course would be an additional asset at hiring or recommendation for candidate to complete
** WORKING CONDITIONS
*** Regular travel required
* 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 $55,000 to $95,000. 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…