Compliance Officer, Registrations

Location: Toronto, ON

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 detail-oriented and collaborative Compliance Officer to join our Registrations team. The Compliance Officer, Registrations is responsible for the administration and oversight of registration and licensing activities for registered individuals and the firm. This role ensures compliance with CIRO, provincial securities commission, and internal regulatory requirements while providing guidance and support to advisors, branch management, and business partners.

The successful candidate will possess strong regulatory knowledge, exceptional attention to detail, and the ability to manage multiple priorities in a fast-paced environment.

WHAT YOU WILL DO

• Process registration, licensing, and termination requests through the National Registration Database (NRD).
• Review registration applications to ensure accuracy, completeness, and regulatory compliance.
• Monitor registration requirements and licensing renewals across all jurisdictions.
• Support Advisor onboarding.
• Conduct reviews of advisor disclosures, including outside activities, criminal disclosures, and other regulatory matters.
• Liaise with CIRO, provincial securities regulators, and internal stakeholders regarding registration matters.
• Maintain accurate registration records and documentation.
• Support the preparation and submission of regulatory filings and notices.
• Respond to licensing and registration inquiries from advisors, and internal departments.
• Identify process improvements and contribute to departmental projects and initiatives.
• Monitor regulatory developments and assist with implementing changes to registration-related policies and procedures.