Registration compliance expertise meets detailed regulatory administration at CI Financial. Work onsite four days weekly supporting advisors and business partners.
As Compliance Officer, Registrations, you will oversee registration and licensing activities for individuals and the firm. Apply CIRO rules, securities legislation, and National Registration Database knowledge while reviewing applications, monitoring renewals, and supporting advisor onboarding. Your guidance helps maintain internal and regulatory compliance.
Key Responsibilities:
- Process registration, licensing, and termination requests through NRD
- Review applications for accuracy, completeness, and compliance
- Monitor licensing renewals across all jurisdictions
- Conduct reviews of advisor disclosures and regulatory matters
- Maintain records and support regulatory filings
Requirements:
- University degree or college diploma
- Two to three years' securities registration or compliance experience
- Working knowledge of CIRO rules and securities legislation
- Understanding of registration categories and proficiency requirements
- Accuracy, organization, communication, and competing-priority management
Bring registration oversight, regulatory knowledge, and careful analysis to CI Financial's advisor-focused compliance operations onsite.
Securities Registration Compliance Officer in Fredericton employer: CI Investments Inc.
CI Financial is an exceptional employer that fosters a supportive and inclusive work environment, empowering employees to take ownership of meaningful projects while promoting personal and professional growth. With competitive benefits, including health insurance, wellness programs, and a modern HQ location near Union Station, employees are encouraged to thrive in a collaborative atmosphere. The company values ambition and continuous learning, making it an ideal place for those looking to excel in the investment fund industry.
