Location: Toronto, ON, Canada
Date Posted: Jul 14, 2025
Description
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 Compliance Officer to join our Compliance team. In this role, the successful candidate is expected to conduct compliance tasks in accordance with internal procedures and regulatory requirements, and to be heavily involved in trading surveillance in multiple entities within CI Wealth Management.

• Conduct daily, monthly and quarterly compliance tasks, identifying and escalating issues to ensure prompt resolution and regulatory adherence.
• Help onboard new registrants to Ptrade and approve pre-clearance requests from registrants.
• Assess gifts and entertainment requests from registrants, ensuring alignment with compliance policies, and compile detailed monthly reports for management review.
• Review and analyze personal trading activities for registrant across internal and external trading accounts.
• Conduct comprehensive quarterly Trade Desk review and prepare detailed quarterly reports summarizing findings.
• Prepare and submit regulatory reports including marker correction, ISG request, gatekeeper reports etc.