Advisor onboarding and disclosure review anchor this Compliance Officer role at CI Financial. Work onsite four days weekly with registration stakeholders.
Within Registrations, you will provide guidance to advisors, branch management, and business partners while overseeing regulatory documentation. Review outside activities, criminal disclosures, and other matters with exceptional accuracy. Monitor developments, support filings, and help implement registration-related policies and procedures.
Key Responsibilities:
- Review advisor disclosures and registration documentation
- Support onboarding for advisors and branch stakeholders
- Prepare and submit regulatory filings and notices
- Maintain accurate registration records and documentation
- Monitor regulatory developments and implement related changes
Requirements:
- University degree or college diploma
- Two to three years’ related regulatory setting experience
- Knowledge of NRD and registration categories
- Excellent written and verbal communication skills
- Ability to meet deadlines while managing priorities
Apply disclosure review, regulatory analysis, and collaborative communication skills across CI Financial’s registration and licensing activities.