Overview
Regulatory Compliance Officer Jobs in Toronto, Canada at CI Financial
Drive a culture of compliance as a Regulatory Compliance Officer. Ensure adherence to securities industry rules, policies, and procedures while managing complaints and regulatory investigations.
This role demands a proactive approach to encourage compliance within the organization. You will assess reportable matters and manage regulatory filings, ensuring timely reporting to relevant authorities. Prepare investigation reports detailing essential findings and liaise with various departments for effective issue resolution.
Key Responsibilities:
• Assess Reportable Matters for CRI Team involvement
• Report valid complaints to CIRO and AMF promptly
• Prepare internal investigation reports with key findings
• Draft response letters outlining the entity’s position
• Collaborate with agents and regulatory partners for resolutions
Requirements:
• Post-secondary education or equivalent industry designations
• 5+ years in the investment industry, preferably at a CIRO member firm
• Familiarity with relevant regulations and policies
• Strong verbal and written communication skills
• Proficiency in MS Office applications
Enhance compliance culture while managing investigations and regulatory demands effectively.
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Title: Regulatory Compliance Officer
Company: CI Financial
Location: Toronto, Canada
Category:
