Elevate your career as a Senior Compliance Officer with CI Financial, supporting Sales Communications. Oversee advisor communications while ensuring adherence to regulatory standards and corporate branding.
In this strategic role, you will review and coordinate approvals for diverse sales communication materials at CI Financial. With over two years in the financial industry, you will empower Advisors to meet regulatory requirements and enhance marketing initiatives. Your expertise will help mitigate risks and uphold compliance standards across all communications.
Key Responsibilities:
• Review all sales communications for compliance
• Support Advisors in marketing initiatives
• Conduct compliance reviews independently
• Identify and address potential regulatory violations
• Maintain accurate records for audits
Requirements:
• 2+ years in the financial services industry
• Robust analytical and communication skills
• Knowledge of securities regulations
• Ability to handle multiple tasks effectively
• Proficiency in Microsoft Office suite
Contribute your compliance expertise and ensure CI Financial's commitment to excellence in Sales Communications.
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📌 Senior Compliance Officer at CI Financial (Toronto)
🏢 Socket.dev
📍 Toronto