CI Financial

Compliance Officer

CI Financial$92K — $115K *
Finance & Insurance
5 - 7 years of experience
Job Overview by Ladders

Qualifications

  • Bachelor's degree in business, finance, or a related field
  • 5+ years of Financial Services Industry experience; Registered Investment Adviser experience is a plus
  • Previous experience in compliance, audit, risk, or a related role
  • Strong understanding of regulatory requirements like the Investment Advisors Act of 1940
  • Excellent analytical and problem-solving skills
  • Proficiency in data analysis and reporting tools such as Excel
  • Detail-oriented and self-motivated with strong communication skills

Responsibilities

  • Manage the Firm’s Code of Ethics Program and associated policies
  • Escalate exceptions to management with supporting documentation
  • Conduct targeted investigations based on management requests or surveillance
  • Act as the primary contact for policy questions related to the Code of Ethics
  • Prepare metrics for monthly and quarterly reporting
  • Develop relationships with Compliance, Legal, and Risk groups
  • Identify and implement process improvements within the program

Benefits

  • 401(k) plan with employer matching
  • Four subsidized medical plan options
  • Employer paid dental, vision, life, and AD&D insurance
  • Paid short-term and long-term disability
  • Paid maternity and parental leave
  • Flexible Spending Accounts and Health Savings Accounts
  • Paid professional designations and training reimbursement
  • Volunteer days for community service
Full Job Description

Key Responsibilities:

  • Manage the Firm’s Code of Ethics Program including policies governing personal trading, gifts and entertainment, outside business activities, political contributions, conflicts of interest, and certifications.
  • Escalate exceptions to business and Compliance management along with supporting documentation.
  • Work to improve efficiency of rule sets through observation and testing.
  • Act as one of the primary contacts for responding to policy questions related to the Code of Ethics.
  • Conduct targeted investigations in connection with special requests from management or related to issues uncovered in daily surveillance.
  • Act as administrator and systems expert for our Code of Ethics Monitoring tool.
  • Prepare metrics for monthly and quarterly reporting.
  • Develop and maintain strong working relationships with Business, Compliance, Legal and Risk groups.
  • Identify, present recommendations, and ultimately implement solutions for improving processes within the program to build efficiencies and improve workflows
  • Monitor and stay current on relevant laws, regulations, and industry standards.
  • Prepare and maintain accurate records and documentation related to compliance and operational activities.
  • Perform other duties and responsibilities as assigned.

Qualifications:

  • Bachelor's degree in business, finance, or a related field.
  • 5 + years of Financial Services Industry experience (Registered Investment Adviser experience a plus)
  • Previous experience in compliance, audit, risk or a related role.
  • A strong understanding of regulatory requirements and industry standards (i.e. Investment Advisors Act of 1940, Rule 206(4)-7, and federal securities laws).
  • Excellent analytical and problem-solving skills.
  • Proficiency in data analysis and reporting tools (e.g., Excel, data visualization software).
  • Strong Interview, presentation, written communication, time management, organizational and analytical skills.
  • Detail-oriented.
  • Enthusiastic, self-motivated.
  • Experience with STAR Compliance monitoring tool a plus.

To be successful in this role, you will need to have excellent communication skills, exceptional organizational skills, and the ability to multitask effectively. You should also be comfortable working in a fast-paced, dynamic environment and be able to handle pressure with grace and professionalism. Finally, you should be comfortable working independently and as part of a team, and have a positive, can-do attitude.

This position description is intended to provide a general overview of the expectations and responsibilities of this position and may not include all tasks that may be assigned. As the nature of business demands change, so may the functions of this position. Additional duties and responsibilities may be assigned with or without notice. 

Pay Information

This position is exempt and is paid according to the laws of the State of Illinois, Florida, Colorado, or New York depending on final position location. The pay range for this position is $92,500 - $115,500 USD per year. We are required to provide a reasonable estimate of the compensation range for this role. This range takes into account the wide range of factors that are considered in making compensation decisions including but not limited to experience, skills, knowledge, abilities, education, licensure and certifications, and other business and organizational needs. It is not typical for an individual to be offered a salary at or near the top of the range for a position. Salary offers are determined based on final candidate qualifications and experience. 

Physical Requirements

  • This position requires the physical capabilities to work in an office environment, which may include prolonged periods of sitting at a desk and working on a computer. Corient seeks to make reasonable accommodations that enable individuals with disabilities to perform essential duties when possible.

  • This position may require the ability to lift up to 15 pounds.

  • This position is required to work onsite 4 days per week.

U.S. Eligibility Requirements

  • Must be 18 years of age or older.

  • Must have unrestricted work authorization to work in the United States. For U.S. employment opportunities, Corient hires U.S. citizens or permanent residents. Exceptions to these requirements will be determined based on shortage of qualified candidates with a particular skill. Corient will require proof of work authorization.

  • Corient participates in E-Verify and will provide the federal government with your Form I-9 information to confirm that you are authorized to work in the U.S. If E-Verify cannot confirm that you are authorized to work, this employer is required to give you written instructions and an opportunity to contact Department of Homeland Security (DHS) or Social Security Administration (SSA) so you can begin to resolve the issue before the employer can take any action against you, including terminating your employment. Employers can only use E-Verify once you have accepted a job offer and completed the Form I-9.

  • Must be willing to execute Corient’s Employee Agreement or Confidentiality and Non-Disclosure Agreement, which require, among other things, post-employment obligations relating to non-solicitation, confidentiality, and non-disclosure.

What You Can Expect from Us

Our dedication to the Employee Experience at Corient is aimed at supporting, empowering, and inspiring our talented team through:

  • 401(k) Plan with Employer Matching 

  • Four Medical Plan options that is generously subsidized by Corient

  • Employer paid Dental, Vision & Life and AD&D Insurance 

  • Employer paid Short-term & Long-term Disability  

  • Paid Maternity & Parental Leave 

  • Flexible Spending Accounts & Health Savings Accounts

  • Dependent Care FSA 

  • Commuter & Transit FSA 

  • Corporate Discount Program - Perkspot 

  • Training Reimbursement  

  • Paid Professional Designations  

  • Giving back to the community - Volunteer days

About CI Financial

CI Financial is a diversified wealth management firm and one of the largest investment companies in Canada. The company offers a wide range of investment products and services, including mutual funds, ETFs, segregated funds, and alternative investments. CI Financial serves individual investors, financial advisors, and institutional clients across Canada and around the world. The company was founded in 1965 and is headquartered in Toronto, Canada.
Learn more about CI Financial
Size
1,793 employees
Market Cap
$1.7 billion
Industry
NASDAQ

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