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
- Strong analytical, organizational, communication, and detail skills
Bring regulatory judgment, registration knowledge, and careful documentation skills to CI's advisor-focused compliance operations and oversight.
Compliance Officer Registrations CIRO in Toronto employer: CI Financial
CI Financial is an exceptional employer that fosters a collaborative and innovative work culture in the heart of Toronto. With a strong commitment to employee growth, we offer comprehensive training programs and career advancement opportunities, ensuring that our team members thrive in their roles. Join us to be part of a dynamic environment where your contributions directly impact the success of our M&A operations and integrations.
