CI Investments Inc. is one of the country’s largest investment fund companies. CI is known for its innovation and ability to adapt quickly to the changing needs of Canadian investors. It provides employees with a fast-paced and challenging work environment with opportunities for advancement. CI is part of CI Financial, a diverse group of financial services firms.
POSITION: Senior Compliance Officer
LOCATION: Toronto (M5C 3G7)
We are currently seeking a Senior Compliance Officer, Portfolio Compliance to join our Compliance team. In this role, the successful candidate will have subject matter expertise of Charles River including setting up pre-trade and post-trade compliance rules across all investment classes, coding rules, developing appropriate CRD policies and procedures. The candidate is expected to assist Portfolio Management Compliance with responding to alerts, testing, coding and documenting any applicable changes. The job will involve working with large data sets sourced both internally and from market analytics providers such as Bloomberg. The individual will also be responsible for providing data and analytics support on an ad hoc basis.
WHAT YOU WILL DO
Code rules to reflect mandate requirements, new products, rule changes or revisions, ensuring applicable securities laws and National Instrument rules are adhered to
Coordinate directly with wide range of stakeholders across the organization to resolve issues, as required
Analyze requirements and take ownership of implementation of Charles River changes
Apply policies and regulatory rules to respond to compliance related inquiries
Participate and lead special projects, as needed
Ability to multi-task and work effectively and efficiently in a fast-paced, frequently changing environment
WHAT YOU WILL BRING
Expert level Charles River experience and/or other coding experience (SQL)
Experience working in a compliance function at a portfolio management or investment management firm in Canada
Strong knowledge of the securities industry and related products
Excellent project management, critical thinking and interpersonal skills
Strong communication skills, both verbal and written
Superior analytical skills, capable of advising across a range of compliance matters
Expert MS Excel, Bloomberg and SQL skills
Post-secondary education in a related field (i.e. finance, mathematics or other related specialization)
Completion of Canadian Securities Course and or Conduct Practice & Handbook, would be a plus
CFA or progress toward the charter would be a plus
WHAT YOU CAN EXPECT FROM US
Our dedication to the Employee Experience at CI is aimed at supporting, empowering and inspiring our talented team through:
Recognition & Compensation
Training & Development
Health & Well-being
Communication & Feedback
If you are a passionate, committed and dynamic individual, please submit your resume in confidence by clicking “Apply”.
Only qualified candidates selected for an interview will be contacted.
CI Financial Corp. and all of our affiliates (“CI”) are committed to fair and accessible employment practices and we are committed to providing accommodations for persons with disabilities. If you require accommodations in order to apply for any job opportunities, or require this posting in an additional format, please contact us at email@example.com, or call 416-364-1145 ext. 4747. If you are contacted by CI regarding a job opportunity or testing and require accommodation in any stage of the recruitment process, please use the above contact information. We will work with all applicants to determine appropriate accommodation for individual accessibility needs.