The Complaints and Regulatory Investigation ("CRI") Team is currently seeking a Compliance Officer. The successful candidate is expected to encourage and foster a culture of compliance within the organization in accordance with our policies and procedures, securities industry rules and regulations. What You Will Do Complete an assessment of Reportable Matters to determine if the involvement of the CRI Team is required, in accordance with the CRI Team policy. Report valid complaints within the prescribed timelines to CIRO (Investment Dealer and Mutual Fund Dealer divisions) and/or AMF through their respective reporting systems and continue to manage the regulatory filing status throughout the handling process. Prepare an internal investigation report for each Reportable Matter, as required by CRI Team policy, that includes a summary of the facts, nature of the incident, previous/related issues, mitigating and/or aggravating factors, involved parties’ comments, an assessment of potential liability, and Investigating Officer’s comments and recommended sanctions. Draft substantive response letters in accordance with the CRI Team policy outlining the entities final position and submit the documents to the Vice President, Compliance and/or the Director, Complaints and Regulatory Investigations for review. Liaise with Agents, Branch Managers, Compliance Management, Legal Department, Executive Management Group, CIRO, and other regulatory and insurance business partners to resolve Reportable Matters, as appropriate. Ensure all files assigned include all necessary elements to comply with CRI Incident and Complaint Handling Policy and regulatory requirements for complaint and investigation files. What You Will Bring Post‑secondary education or Canadian Securities Course (CSC), the Conduct and Practices Handbook (CPH) or other industry related designations. 5+ or more years of relevant investment industry experience dealing with a CIRO member firm or Investment Fund Company.



Completion or progress toward industry related designations such as Canadian Securities Course (CSC), or the Conduct and Practices Handbook (CPH), is considered an asset. Current knowledge of: regulations including relevant National Instruments; CIRO ID and MFD, and other SRO Rules, Policies and Regulatory Notices; CSA National and Multilateral Instruments; applicable provincial and territorial securities rules and regulations; and federal and provincial privacy legislation. Strong communication skills, verbal and written. Experience reviewing and applying CIRO (ID and MFD divisions) or National Instruments compliance requirements. Experience managing complaints and investigations, preferably across different registration categories considered an asset. PC literate with advanced knowledge of MS Office (Excel, Outlook, PowerPoint and Word). This role follows our in‑office work model and requires employees to be onsite four days per week to support collaboration and business needs. The anticipated base salary range for this position is $55,000 to $95,000, depending on experience, skills, education and budget. Salary may vary based on geographic location. In addition to base salary, the position is eligible for a bonus program. The Company offers benefits including health insurance coverage, wellness programs, life and disability insurance, retirement savings plans, paid leave programs, education‑related programs, paid holidays and vacation time, etc. What We Offer Contemporary HQ location within walking distance of Union Station Training reimbursement Paid professional designations Employee savings plan (ESP) Corporate discount program Enhanced group benefits Parental leave top‑up program Paid time off for volunteering 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, or call 416‑364‑1145 ext. 4747. #J-18808-Ljbffr

📌 Compliance Officer, Complaints And Regulatory Investigations - Contract - C$55,000 - C$95,000 A Year (Toronto)
🏢 CI Financial
📍 Toronto