Compliance Manager

At 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.

JOB OVERVIEW
This role is within the CI Global Asset Management (CI GAM)'s Compliance Team and will assist the Vice President, Compliance in developing, enhancing, and maintaining CI GAM's Compliance programs. In this role, the successful candidate is expected to contribute to the day-to-day management of compliance programs and related processes including regulatory filings, participate in various ad hoc projects, and support senior members of the Compliance team in administrative and project-related tasks.

WHAT YOU WILL NEED

• Create and document new processes and procedures for new compliance initiatives and controls, ensuring applicable securities laws and regulations are adhered to.
• Maintain policy and procedures documents to reflect new or changing regulatory/ industry standards or corporate developments as required.
• Apply policies and regulatory rules appropriately to respond to compliance related inquiries from business units.
• Coordinate directly with wide range of stakeholders across the organization to gather information and resolve issues, as required.
• Review and analyze data gathered from various sources, identify issues and trends, and produce summary report for senior management.
• Manage day-to-day operation of various compliance programs and related processes.
• Assist in the development of management reporting, including the development and reporting of KPIs and Metrics based existing data and designing systems to collect data.
• Review and investigate potential and/or actual compliance issues as they arise and escalating issues in alignment with standardized processes and procedures.
• Assess various investment strategies for adherence to applicable investment fund rules and regulations.
• Ensure regulatory filings, reporting and compliance deadlines are met including responses to information requests.
• Advise on compliance matters and support continuous training and education to the business.
• Participate and assist in ad hoc projects, as needed.

WHAT YOU WILL BRING

• Post-secondary education
• Completion or progress toward industry related designations such as CFA, CPA or CSC is considered an asset
• In depth knowledge of the financial industry including investment fund regulations and applicable National Instruments (e.g. NI 31-103, NI 81-102); and
• Minimum of 5 years of relevant industry experience in a senior compliance capacity at an investment management firm.
• Strong communication skills, verbal and written.
• Superior and versatile analytical skills, capable of advising across a range of compliance matters.
• Strong technical skills including MS Office, experience with MS Excel is a must.
• Ability to multi-task and work effectively and efficiently in a fast-paced, frequently changing environment.

CI Financial is an independent company offering global wealth management and asset management advisory services through diverse financial services firms. Since 1965, we have consistently anticipated and responded to the changing needs of investors. We are driven by a commitment to provide individuals and institutions with the highest-quality investments and advice. Our commitment to the highest levels of performance means that whatever their position, CI employees must be comfortable in a fast-paced environment that will stretch them to tap into their highest potential. Employees with a healthy dose of ambition, a desire to commit to a curious mindset for continuous learning, and a willingness to go the extra mile thrive at CI.

WHAT WE OFFER

• Modern HQ location within walking distance from Union Station
• Flexible & Hybrid Work Program
• Equipment Purchase Program
• Training Reimbursement
• Paid Professional Designations
• Employee Share Purchase Program (ESPP)
• Corporate Discount Program
• Enhanced group benefits
• Parental Leave Top-up program
• Fitness membership discounts
• Volunteer paid Days
• Complimentary vending machines

We are focused on building a diverse and inclusive workforce. If you are excited about this role and are not confident you meet all the qualification requirements, we encourage you to apply to investigate the opportunity further.

Please submit your resume in confidence by clicking "Apply". Only qualified candidates selected for an interview will be contacted. CI Financial Corp. and all of our affiliates ("CI") are committed to fair and accessible employment practices and provide reasonable accommodations for persons with disabilities. If you require accommodations in order to apply for any job opportunities, require this posting in an additional format, or require accommodation at any stage of the recruitment process please contact us at [redacted], or call [redacted] ext. 4747.