Join CI Financial as a Compliance Officer to oversee sales communications while ensuring adherence to regulatory standards. This on-site position emphasizes robust support for Advisors and regulatory compliance initiatives.
As a Compliance Officer on the Sales Communications team, you will work closely with CI Assante Advisors, reviewing and approving marketing materials. Your role is pivotal in maintaining compliance with securities regulations and internal policies, assisting Advisors in their marketing efforts, and safeguarding CI Assante’s brand integrity. You will proactively identify any compliance risks, making sure all initiatives align with company standards.
Key Responsibilities:
• Review and approve advisor sales communications




• Educate Advisors on compliance regulations
• Conduct risk-based compliance reviews
• Track and manage incoming requests
• Maintain accurate compliance records
Requirements:
• 2+ years in securities or financial industry
• University degree or equivalent experience
• Strong analytical and planning skills
• Proficient in Microsoft Office applications
• Bilingualism in French and English is an asset
Utilize your compliance expertise to ensure CI Financial Advisors thrive within a well-regulated environment.
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📌 Compliance Officer for Sales Communications (Toronto)
🏢 CI Financial
📍 Toronto