Job opportunity
Advisor Registration Regulatory Analyst
CI Investments Inc.
Advisor onboarding and disclosure review anchor this Compliance Officer role at CI Financial. Work onsite four days weekly with registration stakeholders.
Within Registrations, you will provide guidance to advisors, branch management, and business partners while overseeing regulatory documentation. Review outside activities, criminal disclosures, and other matters with exceptional accuracy. Monitor developments, support filings, and help implement registration-related policies and procedures.
Key Responsibilities:
Review advisor disclosures and registration documentation
Support onboarding for advisors and branch stakeholders
Prepare and submit regulatory filings and notices
Maintain accurate registration records and documentation
Monitor regulatory developments and implement related changes
Requirements:
University degree or college diploma
Two to three years’ related regulatory environment experience
Knowledge of NRD and registration categories
Excellent written and verbal communication skills
Ability to meet deadlines while managing priorities
Apply disclosure review, regulatory analysis, and collaborative communication skills across CI Financial’s registration and licensing activities.
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Apply on source site Within Registrations, you will provide guidance to advisors, branch management, and business partners while overseeing regulatory documentation. Review outside activities, criminal disclosures, and other matters with exceptional accuracy. Monitor developments, support filings, and help implement registration-related policies and procedures.
Key Responsibilities:
Review advisor disclosures and registration documentation
Support onboarding for advisors and branch stakeholders
Prepare and submit regulatory filings and notices
Maintain accurate registration records and documentation
Monitor regulatory developments and implement related changes
Requirements:
University degree or college diploma
Two to three years’ related regulatory environment experience
Knowledge of NRD and registration categories
Excellent written and verbal communication skills
Ability to meet deadlines while managing priorities
Apply disclosure review, regulatory analysis, and collaborative communication skills across CI Financial’s registration and licensing activities.
#J-18808-Ljbffr