- Title: Bilingual Compliance Officer, Registrations
- Employer: CI Financial Corp.
- Display Date: 2019-07-08
- Location: Toronto, ON
- Salary: Not available
- Preferred application method: temps plein
Requisition ID : 2471
Founded in 1995, Assante Wealth Management is one of Canada’s largest firms providing wealth management solutions. Our 830 professional advisors, located in communities throughout the country, have approximately $43 billion of Canadian's family wealth under their care.
POSITION: Bilingual Compliance Officer, Registrations
LOCATION: Toronto, ON (M5J 0A3)
STATUS: Full Time
The Registration Department is responsible for the administration of licensing and registration with the Investment Industry Regulatory Organization of Canada (IIROC), the Mutual Fund Dealers Association of Canada (MFDA), provincial securities commissions, provincial insurance councils and Errors & Omissions (E&O) provider for all parties conducting business through Assante Capital Management Ltd. (ACM), Assante Financial Management Ltd. (AFM) and Assante Estate and Insurance Services Inc. (AEIS).
The Bilingual Compliance Officer will be primarily responsible for supporting Eastern Canada (i.e. Quebec, Ottawa, Kingston) with all registration related matters as well as assisting with the creation of French documents/templates and the translation of existing English documents/templates to French, relative to Registration processes and procedures.
WHAT YOU WILL DO
Ensure registration applications are reviewed and vetted for accuracy and completeness. Identify and resolve deficiencies in a timely manner
Process registration application forms on the National Registration Database (NRD) system (initial, reactivation and reinstatement applications), and process registration applications for the United States
Process Material Change Notices and Uniform Termination Notices within a timely manner on the NRD system
Critically review all applications for approval from registrants to conduct Outside Business Activities
Ensure all registrants satisfy their continuing education and proficiency standards requirements
Process Errors & Omissions (E&O) applications for liability insurance coverage
Administer the ACM 30 & 90 Day Training Program and the AFM 90-Day Training Program
Liaise with the regulators, E&O provider, registrants and internal business units (i.e., Marketing, Business Development, Transition Services, Legal) to resolve day-to-day issues and escalated registration matters
Maintain current, accurate and consistent records in the NRD and internal Associate Database System (AADB)
Manage all Exemptions and Terms & Conditions applied to individual registrations
Stay current on regulatory registration/licensing requirements or any change affecting Registration within the financial industry
Participate in special projects requiring Registration input and expertise
Act as the 2nd reviewer for events/presentations, submitted for CE credits accreditation (IIROC, Provincial Insurance Councils and the Autorite des marches financiers)
WHAT YOU WILL BRING
Minimum 2 years’ experience in investment industry (banking, securities mutual fund, insurance)
Fully proficient in French and English, verbal and written
Post-secondary education or training in business, finance or related discipline would be an asset
Completion of the Canadian Securities Course or basic Mutual Fund Salesperson licensing course would be an asset
Extremely detailed oriented with strong organizational, time management and analytical skills
Proficient in completing accurate, clear and concise documentation
Excellent communication skills
Ability to work independently
Ability to manage highly sensitive, time sensitive and confidential information
Proficient in Computer skills (MS Office and Internet)
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
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 firstname.lastname@example.org, or call 416-681-4747. 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.
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Expiration Date: 2019-07-25