Join CI Financial as a Compliance Officer within the Complaints and Regulatory Investigation Team. This in-office role requires robust communication skills and investment industry experience to manage complaints effectively.
In this position, you'll play a pivotal role in fostering compliance culture and ensuring that all complaints and investigations are handled fairly and transparently. Your expertise, with five or more years in the investment sector, will help navigate regulatory requirements and internal policies. This position emphasizes collaboration, requiring in office presence four days a week for effective teamwork and support.
Key Responsibilities:
• Assess Reportable Matters for CRI Team involvement
• Report valid complaints to CIRO and AMF




• Prepare internal investigation reports with detailed summaries
• Draft response letters outlining final positions
• Liaise with various stakeholders for issue resolution
Requirements:
• Post-secondary education or industry-related designations
• 5+ years in the investment industry
• Knowledge of CIRO and National Instruments
• Robust verbal and written communication skills
• Experience managing complaints is a plus
Utilize your compliance knowledge and complaint management skills to enhance CI Financial's operations.
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📌 Compliance Officer At Ci Financial Toronto
🏢 CI Financial
📍 Toronto