Apply your CIRO knowledge and registration expertise as a Compliance Officer with CI’s Registrations team, working onsite four days weekly. Support advisors and maintain accurate regulatory records across jurisdictions.
This Compliance Officer administers registration, licensing, and termination activities for registered individuals and the firm. You will review applications, monitor renewals, and guide advisors, branch management, and business partners. The position also supports regulatory filings, disclosures, inquiries, and policy updates.
Key Responsibilities: Process registration, licensing, and termination requests through NRD
Review applications for completeness, accuracy, and compliance
Monitor licensing renewals across all jurisdictions
Conduct advisor disclosure reviews and support onboarding
Liaise with regulators and internal stakeholders on registrations
Requirements: University degree or college diploma
Two to three years’ securities registration or compliance experience
Working knowledge of CIRO rules, securities legislation, and NRD
Understanding of registration categories and proficiency requirements
Robust analytical, organizational, communication, and detail skills
Bring regulatory judgment, registration knowledge, and careful documentation skills to CI’s advisor-focused compliance operations and oversight.