At CI, we see a great place to work as one that is a safe place for everyone to have a voice, where people are empowered to take ownership over meaningful work, where there is an opportunity to grow through stretching themselves, where they can work on innovative products and projects, and where employees are supported and engaged in doing so. JOB OVERVIEW We are currently seeking a Senior Compliance Officer to join our Compliance team. In this role, the successful candidate is expected to assist in the regulatory Compliance program for the Investment Fund Manager and Exempt Market Dealer. Provide a range of compliance support services to sales, marketing, institutional business and back-office operations.

Apply policies and regulatory rules to respond to compliance related inquiries

Assist in creation and documentation of new processes and procedure for new compliance initiatives and controls, ensuring applicable securities law and National Instrument rules are adhered to.

Assist in the creation of new policies and guidelines to reflect current or changing regulatory/industry standards or corporate developments.

Participate and lead special projects, as needed

Support in the review of all product and wholesaling marketing and sales communications materials, including (but not limited to) the below for adherence to applicable policies and regulations:

Advisor and investor-facing materials

Website content

Support in maintaining sales communication checklists for retail and institutional sales as they relate specifically to investment fund products/content





Support in the review of retail sales practices activities relating to the adherence of regulatory requirements and internal policies and guidelines.

Support in maintaining sales practices policy and guidelines as well as training contents and materials.

Superior analytical skills, capable of advising across a range of compliance matters

Post-secondary education plus Canadian Securities Course (CSC), the Conduct and Practices Handbook (CPH) or other industry related designations an asset.

Thorough working knowledge of National Instruments 81-102, 81-105 and at least 3 years working experience in a mutual fund manager compliance department

In depth knowledge of the financial industry including investment fund regulations and applicable National Instruments

Experience in Salesforce, Concur, Tableau software an asset

Experience in providing training to a large group of Sales staff

Superior and versatile analytical skills, capable of advising across a range of compliance matters

Proficient in understanding, identification, and assessment of internal controls for the purposes of assessing the effectiveness of their design

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

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. Training Reimbursement

Corporate Discount Program

Parental Leave

CI Financial is an independent company offering global wealth management and asset management advisory services through diverse financial services firms. We are driven by a commitment to provide individuals and institutions with the highest-quality investments and advice. Our commitment to the highest levels of performance means that whatever their position, CI employees must be comfortable in a fast-paced environment that will stretch them to tap into their highest potential. A Supportive Environment for Success We offer an in-office environment, competitive benefits, and a supportive workplace to help our employees thrive both personally and professionally.

and all of our affiliates (“CI”) are committed to fair and accessible employment practices and provide reasonable accommodations for persons with disabilities. If you require accommodations in order to apply for any job opportunities, require this posting in an additional format, or require accommodation at any stage of the recruitment process please contact us at accessible.CI Financial is an independent company offering global wealth management and asset management advisory services. We are driven by a commitment to provide individuals and institutions with the highest-quality investments and advice.

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📌 Senior Compliance Officer (Life and Health Insurance) (Toronto)
🏢 CI Financial
📍 Toronto