Compliance Officer, Complaints and Regulatory Investigations

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. 

The Compliance Officer, Complaints will ensure all assigned complaints, internally identified concerns, internal or regulatory investigations (“Reportable Matters”) are handled in a fair, transparent, objective, and factual manner in accordance with the Complaints and Regulatory Investigation (“CRI”) Team policy and regulatory guidelines.

WHAT YOU WILL DO 

Complete an assessment of Reportable Matters to determine if the involvement of the CRI Team is required, in accordance with the CRI Team policy. 

Report complaints within the prescribed timelines to CIRO (Investment Dealer and Mutual Fund Dealer divisions) and/or...