Registration compliance expertise meets detailed regulatory administration at CI Financial. Work onsite four days weekly supporting advisors and business partners.
As Compliance Officer, Registrations, you will oversee registration and licensing activities for individuals and the firm. Apply CIRO rules, securities legislation, and National Registration Database knowledge while reviewing applications, monitoring renewals, and supporting advisor onboarding. Your guidance helps maintain internal and regulatory compliance.
Key Responsibilities:
- Process registration, licensing, and termination requests through NRD
- Review applications for accuracy, completeness, and compliance
- Monitor licensing renewals across all jurisdictions
- Conduct reviews of advisor disclosures and regulatory matters
- Maintain records and support regulatory filings
Requirements:
- University degree or college diploma
- Two to three years’ securities registration or compliance experience
- Working knowledge of CIRO rules and securities legislation
- Understanding of registration categories and proficiency requirements
- Accuracy, organization, communication, and competing-priority management
Bring registration oversight, regulatory knowledge, and careful analysis to CI Financial’s advisor-focused compliance operations onsite.