Senior Compliance Officer

At CI, we see a great place to work as one that is a safe place for everyone to have a voice, where people are empowered to take ownership over meaningful work, where there is an opportunity to grow through stretching themselves, where they can work on innovative products and projects, and where employees are supported and engaged in doing so.

The Senior Compliance Officer oversees the conduct and business practices of insurance Advisors directly contracted with Assante Estate and Insurance Services Inc. (“AEIS”). The role provides compliance oversight for both life insurance and segregated fund business, helping ensure that Advisors meet applicable regulatory requirements, carrier expectations, and AEIS policies and procedures while supporting the organization’s business needs.

What you will do:

• Team leadership and advisory support: Coach and mentor Compliance team members on market conduct and Advisor suitability matters.
• Escalations and investigations: Serve as a resource and escalation point for questions or concerns arising from Advisor and firm practice reviews, investigations, and market conduct matters.
• Policies and controls: Help develop, maintain, promote, and audit policies and procedures that align with ethical standards, insurance regulatory requirements, and relevant industry guidance.
• Advisor education: Promote Advisor awareness of legal and regulatory obligations and AEIS policies and procedures through mandatory education, compliance questionnaires, and knowledge testing.
• Risk identification: Identify areas of regulatory vulnerability and help develop review mechanisms and controls to mitigate related risks.
• Business guidance: Provide compliance guidance to internal departments as requested or required.
• Enterprise initiatives: Participate in projects involving risk management, compliance, anti-money laundering, anti-terrorist financing, and privacy standards.
• Carrier compliance reviews: Support the preparation and completion of the CLHIA MGA Compliance Review Survey for insurance carriers.
• Advisor practice reviews: Assist Advisors with practice reviews conducted by carriers and regulators.
• Advisor screening and monitoring: Support the Registrations Team in screening prospective Advisors and monitoring their ongoing suitability after contracting.
• Regulatory monitoring: Help ensure AEIS remains current on provincial regulatory requirements, proposed changes, and industry initiatives, including those introduced by the CLHIA.
• Sales communications: Review sales communications before circulation, as required.

What you will bring:

• At least 5-7 years of experience in the financial services industry.
• At least 3-5 years of experience in a regulatory compliance role.
• Excellent knowledge of provincial insurance laws and regulations.
• Working knowledge of applicable federal legislation, including PIPEDA and anti-money laundering and anti-terrorist financing requirements.
• Strong aptitude for regulatory and legal research.
• A collaborative working style and demonstrated ability to contribute positively to team culture and shared success.
• Excellent written and verbal communication skills.
• Proven ability to build and maintain collaborative, productive working relationships.
• Advanced English-language proficiency, including the ability to communicate effectively with regulators and insurance industry stakeholders across Canada.
• French-language proficiency is preferred.

Education and Professional Qualifications

• A post-secondary degree or diploma in business, accounting, law, or a related discipline is preferred.
• Completion of the LLQP and other relevant industry courses or licenses is preferred.

This role follows our in‑office work model and requires employees to be onsite four days per week to support collaboration and business needs.

This opportunity is for an existing vacancy with the company. The anticipated base salary range for this position is $55,000 to $95,000. Exact salary depends on several factors such as experience, skills, education, and budget. Salary range may vary based on geographic location. In addition to base salary, this position is eligible for participation in a bonus program. In addition, The Company offers a variety of benefits to eligible employees, including health insurance coverage, wellness programs, life and disability insurance, retirement savings plans, paid leave programs, education-related programs, paid holidays and vacation time, and many others. Many of these benefits are subsidized or fully paid for by the company.

CI Financial is an independent company offering global wealth management and asset management advisory services through diverse financial services firms. Since 1965, we have consistently anticipated and responded to the changing needs of investors. We are driven by a commitment to provide individuals and institutions with the highest-quality investments and advice. Our commitment to the highest levels of performance means that whatever their position, CI employees must be comfortable in a fast-paced environment that will stretch them to tap into their highest potential. Employees with a healthy dose of ambition, a desire to commit to a curious mindset for continuous learning, and a willingness to go the extra mile thrive at CI.

A Supportive Environment for Success

We offer an in-office environment, competitive benefits, and a supportive workplace to help our employees thrive both personally and professionally.

WHAT WE OFFER

• Modern HQ location within walking distance from Union Station
• Training Reimbursement
• Paid Professional Designations
• Employee Savings Plan (ESP)
• Corporate Discount Program
• Enhanced group benefits
• Parental Leave Top–up program
• Paid time off for Volunteering 

We are focused on building a diverse and inclusive workforce. If you are excited about this role and are not confident you meet all the qualification requirements, we encourage you to apply to investigate the opportunity further.

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 provide reasonable accommodations for persons with disabilities. If you require accommodations in order to apply for any job opportunities, require this posting in an additional format, or require accommodation at any stage of the recruitment process please contact us at accessible.recruitment@ci.com, or call 416-364-1145 ext. 4747.