Compliance Officer, Registrations (Insurance)

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 seeking a dedicated Compliance Officer to join our Insurance Registrations Team. The Registration Team oversees the licensing and contracting processes for our National Accounts firm, Assante Estate & Insurance Services Inc., as well as that of our contracted Advisors, with Canada’s provincial Insurance regulatory bodies. In tandem with this effort and in scope with ever evolving licensing and contracting requirements, the successful candidate will assist the team in fostering the close relationships with our valued Canadian insurance company partner carriers, advisors and regulators. The Compliance Officer will also ensure compliance with errors & omissions (E&O) matters, licensing & contracting requirements, and the facilitation, build out and administration of seamless processes and adherence to regulatory standards from a licensing and contracting perspective.

WHAT YOU WILL DO

• Ensure applications for individual and corporate registrations are filed in accordance with all relevant CCIR and CISRO member regulator requirements as well as those of key industry stakeholders such as the CLHIA and Advocis.
• Onboard and assist with advisor licensing and sponsorship requests, initial and ongoing screening, and review of advisor contracts for any deficiencies
• Communicate any issues in the licensing, contracting, screening process with Compliance until the advisor’s contract completion and approval
• Provide detailed advice to the business on registration requirements for both corporate and individual registrants.
• Analyze all registration applications requiring approval by various regulatory bodies, ensuring compliance and accuracy.
• Report approvals, withdrawal, termination, suspensions, and deficiencies to both the business and individual registrants in a clear and timely manner.
• Update and maintain firm and advisor registrations data as needed with applicable regulators.
• Act as a liaison with regulators to address complex registration matters, ensuring effective communication and timely resolution.
• Maintain and update firm and advisor registrations with regulators, ensuring accuracy in the National Registration Database (NRD) related to disclosed outside activities for dually licensed advisors.
• Assist with additional responsibilities, duties and initiatives as identified.
• Preparing monthly active advisor reports and distributing them to all vendors and internal stakeholders.

WHAT YOU WILL BRING

• Minimum 3 years of licensing and contracting experience with an existing National Accounts firm or Managing General Agency (MGA).
• Industry designation(s) are appreciated (FLMI, ACS, AIAA)
• Exceptional attention to detail and strong organizational, time management, and analytical skills.
• Proficient in producing accurate, clear, and concise documentation.
• Excellent written and verbal communication skills.
• Ability to work independently while managing highly sensitive, time-sensitive, and confidential information.
• Working knowledge of WealthServ, NRD, proficiency in Microsoft Office programs (Word, Excel, Outlook and PowerPoint) and other internet-based applications.
• Undergraduate degree preferred; post-secondary education in legal, finance, or a related field is an asset.
• Enthusiasm and a passion for compliance and regulatory processes.
• Ability to multitask effectively and collaborate as a team player.

This opportunity is for an existing vacancy with the company. The anticipated base salary range for this position is $50,000 to $71,000. 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.