Toronto, Ontario, Canada · On-site
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 th…
Skills: Compliance Monitoring, Regulatory Oversight, Risk Management, Conflict Resolution, Organizational Skills
Toronto, Ontario, Canada · On-site
$43k–$71k/yr
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 th…
Skills: Trade Surveillance, Regulatory Compliance, Client Account Monitoring, Risk Analysis, MS Excel
Toronto, Ontario, Canada · On-site
$43k–$71k/yr
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 th…
Skills: Onboarding, Offboarding, Benefits Administration, Employee Record-keeping, Workday
Toronto, Ontario, Canada · Hybrid
$55k–$95k/yr
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 th…
Skills: Regulatory Investigations, Complaint Handling, Compliance Monitoring, Internal Auditing, Report Writing
Toronto, Ontario, Canada · On-site
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 th…
Skills: Fund Taxation, Tax Planning, Regulatory Compliance, Tax Distribution, Risk Management
Toronto, Ontario, Canada · Hybrid
$43k–$71k/yr
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 th…
Skills: Tax Reporting, Data Analysis, Microsoft Excel, Account Reconciliation, Business Analysis
Toronto, Ontario, Canada · On-site
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 th…
Skills: Fund Taxation, Tax Compliance, Canadian Tax Regulations, Tax Reporting, IFRS
New York, United States · Hybrid
$66k–$87k/yr
Join a team that values your ambition and empowers your growth At Corient, we help high- and ultra-high-net-worth individuals and families to enjoy a full life, while enabling them to preserve their wealth for future gen…
Skills: Wealth Management, Financial Planning, Tax Planning, Estate Planning, Investment Research
Burlington, Ontario, Canada · On-site
$43k–$71k/yr
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 th…
Skills: Trade Cancellations, Trade Corrections, Investment Industry Knowledge, Excel, SharePoint
New York, United States · Hybrid
$60k–$90k/yr
Join a team that values your ambition and empowers your growth At Corient, we help high- and ultra-high-net-worth individuals and families to enjoy a full life, while enabling them to preserve their wealth for future gen…
Skills: Data Analysis, Financial Modelling, Microsoft Excel, Microsoft PowerPoint, Tableau
Miami, Florida, United States · Hybrid
Join a team that values your ambition and empowers your growth At Corient, we help high- and ultra-high-net-worth individuals and families to enjoy a full life, while enabling them to preserve their wealth for future gen…
Skills: Financial Modeling, Data Analysis, Strategic Planning, Variance Analysis, Scenario Analysis
Toronto, Ontario, Canada · On-site
$93k–$143k/yr
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 th…
Skills: Digital Marketing Strategy, Adobe Experience Cloud, Stakeholder Management, Agile Methodology, Website Governance
Toronto, Ontario, Canada · On-site
$43k–$71k/yr
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 th…
Skills: Accounts Payable, Invoice Processing, Expense Report Review, Vendor Management, Workday Finance
Boston, Massachusetts, United States · Hybrid
$80k–$110k/yr
Join a team that values your ambition and empowers your growth At Corient, we help high- and ultra-high-net-worth individuals and families to enjoy a full life, while enabling them to preserve their wealth for future gen…
Skills: Financial Planning, Investment Analysis, Tax Analysis, Estate Analysis, Microsoft Excel
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Oversee compliance and supervisory activities for registered individuals and branch locations to ensure adherence to securities regulatory requirements and internal policies. Manage account approvals, trade reviews, and provide ongoing education and training to branch personnel.
Requires a minimum of 5 years of securities industry experience, including 2 years as a Branch Manager or Compliance Officer with a CIRO dealer. Must hold an undergraduate degree and be CIRO licensed or eligible for licensure upon hire.
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.
We are currently seeking a Corporate Branch Manager. In this role, the successful candidate is expected to ensure that the business conducted in branch/sub-branch office locations under their supervision by registered individuals, non-registered branch personnel and any applicable agents on behalf of CI Assante Wealth Management Ltd.(AWM), a member of the Canadian Investment Regulatory Organization (CIRO), is in compliance with applicable securities regulatory requirements as well as internal supervisory and compliance policies and procedures.Overall supervisory responsibility for an assigned group of AWM registered individuals and branch/sub-branch office locations under their supervision
Approval of all new accounts, New Account Application Forms and related required documentation to ensure completeness and follow-up on any deficiencies noted within a reasonable time frame
Ensure registered individuals are properly registered, do not exceed requirements of their registration, provide all appropriate disclosure forms to clients as required in connection with opening accounts or trading in approved products, disclose all outside business activities to Head Office Compliance, and only conduct activities for which they are registered for or have otherwise obtained approval from Head Office Compliance
Monitor registered individuals during the initial 90-Day Training Program, the 6-month supervision period and during any periods of ‘close supervision’ as determined by Head Office Compliance
Complete and provide evidence of and follow up on any deficiencies noted in the daily and monthly trade and account reviews, with such reviews performed in accordance with securities regulatory requirements
Report any significant client service issues, including allegations of wrongdoing and any verbal or written complaints to Head Office Compliance immediately
Be responsible for ongoing education and training of both registered and non-registered representatives to ensure awareness of and compliance with new and revised securities regulatory requirements and internal supervisory and compliance policies and procedures
Ensure all client and branch files are current and up-to-date and contain all required documents
Effectively control access to supervisory records and files to ensure client confidentiality
Periodic visits with sub branch locations as part of ensuring overall compliance and effective supervision of registered individuals
Report regularly to DCCO in relation to:
Overall level and effectiveness of branch and supervision of registered individuals and compliance with securities regulatory requirements and internal supervisory and compliance policies and procedures
Specific supervisory challenges relating to registered individuals
Performance and results of any internal or external branch examinations performed across any branch/sub-branch office locations under their supervision
Inquiries, requests for information from the Securities Commissions or local offices of CIRO
Client complaints, lawsuits or allegations of misconduct levied against any registered individuals or branches
Minimum 5 years securities industry experience, with minimum 2 years’ experience as a Branch Manager or Compliance Officer with a CIRO dealer firm
Experience with a securities commission or self-regulatory organization would be an asset
CIRO licensed or will be required upon hire (subject to regulatory approval)
An undergraduate degree
Completion of applicable securities industry courses offered by the Canadian Securities Institute or by CIRO
Demonstrated knowledge and understanding of the relevant securities legislation and SRO rules and regulations.
Extensive knowledge of MS Office applications including as Word, Excel, Power Point and Outlook
Familiarity and experience working with common securities transaction processing systems, including RPM
Ability to work independently and under pressure
Strong conflict resolution, organizational, and communication skills
Regular travel required
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.
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 [email protected], or call 416-364-1145 ext. 4747.
Setting the standard for investment excellence and advice.
CI Financial is an independent company offering global asset management and wealth management advisory services. We are driven by a commitment to provide individuals and institutions with the highest-quality investments and advice—and offer a comprehensive and innovative selection of strategies and services. Our employees are at the heart of everything we do. They must be comfortable in a fast-paced environment in an industry that is always changing. A healthy dose of ambition, a willingness to go the extra mile and a strong sense of camaraderie are what we look for in our team members. You can find job postings for all CI Financial companies on this page. And if you’d like to learn more about our lines of business, you can do so on the following pages: CI Global Asset Management, CI Assante Wealth Management, CI Investment Services, and CI Direct Investing.
Offices: 15 York St, 2nd Floor, Toronto, Ontario M5J 0A3, CA
Setting the standard for investment excellence and advice.
CI Financial is an independent company offering global asset management and wealth management advisory services. We are driven by a commitment to provide individuals and institutions with the highest-quality investments and advice—and offer a comprehensive and innovative selection of strategies and services. Our employees are at the heart of everything we do. They must be comfortable in a fast-paced environment in an industry that is always changing. A healthy dose of ambition, a willingness to go the extra mile and a strong sense of camaraderie are what we look for in our team members. You can find job postings for all CI Financial companies on this page. And if you’d like to learn more about our lines of business, you can do so on the following pages: CI Global Asset Management, CI Assante Wealth Management, CI Investment Services, and CI Direct Investing.
Offices: 15 York St, 2nd Floor, Toronto, Ontario M5J 0A3, CA
