Chez CI, nous considérons qu’un excellent lieu de travail est un endroit sécuritaire où chacun peut s’exprimer, où les employés ont la possibilité de s’investir dans un travail valorisant, où ils ont l’occasion de se dépasser pour progresser, où ils peuvent travailler sur des produits et des projets innovants, et où ils sont soutenus et encouragés dans leurs efforts.

- Support Advisor onboarding.

We are seeking a detail-oriented and collaborative Compliance Officer to join our Registrations team. The Compliance Officer, Registrations is responsible for the administration and oversight of registration and licensing activities for registered individuals and the firm. This role ensures compliance with CIRO, provincial securities commission, and internal regulatory requirements while providing guidance and support to advisors, branch management, and business partners.

The successful candidate will possess strong regulatory knowledge, exceptional attention to detail, and the ability to manage multiple priorities in a fast-paced workplace.

What You Will Do

- Process registration, licensing, and termination requests through the National Registration Database (NRD).
- Review registration applications to ensure accuracy, completeness, and regulatory compliance.
- Monitor registration requirements and licensing renewals across all jurisdictions.
- Support Advisor onboarding.
- Conduct reviews of advisor disclosures, including outside activities, criminal disclosures, and other regulatory matters.
- Liaise with CIRO, provincial securities regulators, and internal stakeholders regarding registration matters.
- Maintain accurate registration records and documentation.




- Support the preparation and submission of regulatory filings and notices.
- Respond to licensing and registration inquiries from advisors, and internal departments.
- Identify process improvements and contribute to departmental projects and initiatives.
- Monitor regulatory developments and assist with implementing changes to registration-related policies and procedures.

What You Will Bring

- University degree or college diploma
- Minimum 2-3 years of experience in securities registration, licensing, compliance, or a related regulatory environment.
- Working knowledge of CIRO rules, securities legislation, and the National Registration Database (NRD).
- Strong understanding of registration categories and proficiency requirements.
- Excellent analytical, organizational, and problem-solving skills.
- Strong written and verbal communication skills.
- High degree of accuracy and attention to detail.
- Proficiency with Microsoft Office applications, particularly Excel, Outlook, and Word.
- Ability to manage competing priorities and meet regulatory deadlines.

Key Competencies

- Regulatory and compliance knowledge
- Critical thinking and sound judgment
- Attention to detail
- Time management and organization
- Relationship-building and collaboration
- Accountability and professionalism
- Customer service orientation
- Continuous improvement mindset





This role follows our in office work model and requires employees to be onsite four days per week to support collaboration and business needs.

This opportunity is for an existing vacancy with the company. The anticipated base salary range for this position is$50,000 to $71,000. Exact salary depends on several factors such as experience, skills, education, and budget. Salary range may vary based on geographic location. In addition to base salary, this position is eligible for participation in a bonus program. In addition, The Company offers a variety of benefits to eligible employees, including health insurance coverage, wellness programs, life and disability insurance, retirement savings plans, paid leave programs, education-related programs, paid holidays and vacation time, and many others. Many of these benefits are subsidized or fully paid for by the company.

Financière CI est une société indépendante offrant des services de conseil en gestion de patrimoine et en gestion d’actifs à l’échelle mondiale par le biais de diverses sociétés de services financiers. Depuis 1965, nous anticipons les besoins changeants des investisseurs et y répondons de manière fiable. Nous sommes animés par la volonté d’offrir aux particuliers et aux institutions des investissements et des conseils de la plus haute qualité. Notre engagement à fournir les niveaux de rendement les plus élevés signifie que, peu importe leur poste, les employés de CI doivent être à l’aise dans un environnement trépidant qui les poussera à exploiter tout leur potentiel. Les employés qui font preuve d’un degré d’ambition élevé, d’une volonté de faire preuv

📌 Compliance Officer, Registrations (Toronto)
🏢 CI Financial
📍 Toronto