Manager, Compliance | (ZQJ-180)

Manager, Compliance | (ZQJ-180)

17 Aug
CI Investments Inc.

17 Aug

CI Investments Inc.


Toronto, ON


Founded in 1995, Assante Wealth Management is one of Canada’s largest firms providing wealth management solutions. Our 830 professional advisors, located in communities throughout the country, have approximately $43 billion of Canadian's family wealth under their care.

POSITION: Manager, Compliance
STATUS: Full-time


We are currently seeking a Manager, Compliance. In this role, the successful candidate is expected to encourage and foster a culture of compliance within the organization in accordance with securities industry rules and regulations.

The incumbent will be responsible for assisting with the overall strategic management of Assante Compliance functions and oversee a group of compliance professionals who support Retail Surveillance, Policy, Compliance Technology and Firm Initiatives at Assante’s two dealerships, Assante Financial Management (AFM), a member of the Mutual Fund Dealers’ Association (MFDA) and Assante Capital Management (ACM), a member of the Investment Industry Regulatory Organization of Canada (IIROC).


- Provide strategic support to Assante’s Director of Compliance and other Assante Senior Management Compliance members on Assante Compliance related matters.
- Provide strategic input on the design, development and implementation of policies and/or procedures related to Assante Sales Compliance, Trade Desk Compliance policies and Managed Account Supervision.
- Support the development, implementation and continuous improvement of Assante Compliance’s related programs, technology, tools and resources designed to enable Assante to meet its regulatory requirements and achieve organizational and operational goals.
- Collaborate with colleagues throughout Assante and provide compliance support for business projects and initiatives.
- Day to day responsibility of the AFM/ACM Tier 2 Head Office Supervision program inclusive of ACM Trade Desk Compliance and Managed Account Supervision.
- Supervision of the Security Master risk rating methodology.
- Design, develop and facilitate Assante Compliance training and education programs and materials for the branch network and Assante Compliance professionals in collaboration with key business groups supporting advisor development and branch practices.
- Direct Supervisor to Senior Compliance Officer(s) and Compliance Officers


- Minimum 5-7 years securities industry experience
- Experience with IIROC, MFDA or a securities commission firm
- University or college degree (or equivalent experience)
- Completion of applicable securities industry courses offered by the Canadian Securities Institute including: Canadian Securities Course, Branch Managers Course, and Partners, Directors and Senior Officers Course
- Demonstrated knowledge and understanding of the relevant securities legislation and SRO rules and regulations.
- Previous people management experience considered a strong asset
- Strong critical thinking skills
- Ability to work independently and under pressure
- Effective communication and articulation skills
- Strong conflict resolution, organizational, and communication skills
- Extensive knowledge of MS Office applications including as Word, Excel, Power Point and Outlook
- Familiarity and experience working with common securities transaction processing systems, including but not limited to RPM


Our dedication to the Employee Experience at CI is aimed at supporting, empowering and inspiring our talented team through:

- Recognition & Compensation
- Training & Development
- Health & Well-being
- Communication & Feedback

If you are a passionate, committed and dynamic individual, 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 we are committed to providing accommodations for persons with disabilities. If you require accommodations in order to apply for any job opportunities, or require this posting in an additional format, please contact us at [email protected], or call (phone hidden) ext. 4747. If you are contacted by CI regarding a job opportunity or testing and require accommodation in any stage of the recruitment process, please use the above contact information. We will work with all applicants to determine appropriate accommodation for individual accessibility needs.

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