Regulatory Compliance Officer at CI Financial

Step into a vital role with CI Financial Corp as a Regulatory Compliance Officer specializing in complaints and investigations. This role requires in-office attendance four days a week, promoting collaboration on important tasks.
Your primary responsibilities include assessing reportable matters and preparing detailed internal investigation reports to support compliance initiatives. You will oversee the regulatory filing process and draft response letters for management review. Effective communication with legal and compliance teams will be essential to resolve concerns promptly.
Key Responsibilities:
• Complete assessments for required CRI Team involvement
• Ensure timely regulatory reporting to CIRO and AMF
• Prepare internal reports capturing investigation details
• Craft substantive responses to stakeholders
• Collaborate with various regulatory partners
Requirements:
• Relevant post-secondary education and industry designations
• Minimum 5 years of ex...