Manage securities licensing and registration activities as a Compliance Officer at CI, using NRD expertise and robust attention to detail onsite. Help maintain regulatory compliance while supporting advisors and internal departments.

Within CI’s Registrations team, this position oversees registration requirements for individuals and the firm. You will process submissions, maintain documentation, respond to inquiries, and support filings involving CIRO and provincial securities regulators. The role requires organized collaboration across competing priorities.

Key Responsibilities:

- Process registration and licensing submissions through NRD
- Maintain registration records, documentation, filings, and notices
- Respond to advisor and department registration inquiries




- Monitor regulatory developments and registration policy changes
- Identify process improvements and support departmental initiatives

Requirements:

- University degree or college diploma
- Two to three years’ experience in securities or regulatory compliance
- Knowledge of CIRO rules, securities legislation, and NRD
- Excellent problem-solving, organization, and written communication skills
- Ability to meet regulatory deadlines and manage priorities

Use your securities registration experience, Microsoft Office proficiency, and regulatory knowledge to support accurate, timely compliance administration.

📌 Securities Registration Compliance Officer (Toronto)
🏢 CI Financial
📍 Toronto