Senior Compliance Officer

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 Senior Compliance Officer oversees the conduct and business practices of insurance Advisors directly contracted with Assante Estate and Insurance Services Inc. (“AEIS”). The role provides compliance oversight for both life insurance and segregated fund business, helping ensure that Advisors meet applicable regulatory requirements, carrier expectations, and AEIS policies and procedures while supporting the organization’s business needs. **What you will do:** * **Team leadership and advisory support:** Coach and mentor Compliance team members on market conduct and Advisor suitability matters. * **Escalations and investigations:** Serve as a resource and escalation point for questions or concerns arising from Advisor and firm practice reviews, investigations, and market conduct matters. * **Policies and controls:** Help develop, maintain, promote, and audit policies and procedures that align with ethical standards, insurance regulatory requirements, and relevant industry guidance. * **Advisor education:** Promote Advisor awareness of legal and regulatory obligations and AEIS policies and procedures through mandatory education, compliance questionnaires, and knowledge testing. * **Risk identification:** Identify areas of regulatory vulnerability and help develop review mechanisms and controls to mitigate related risks. * **Business guidance:** Provide compliance guidance to internal departments as requested or required. * **Enterprise initiatives:** Participate in projects involving risk management, compliance, anti-money laundering, anti-terrorist financing, and privacy standards. * **Carrier compliance reviews:** Support the preparation and completion of the CLHIA MGA Compliance Review Survey for insurance carriers. * **Advisor practice reviews:** Assist Advisors with practice reviews conducted by carriers and regulators. * **Advisor screening and monitoring:** Support the Registrations Team in screening prospective Advisors and monitoring their ongoing suitability after contracting. * **Regulatory monitoring:** Help ensure AEIS remains current on provincial regulatory requirements, proposed changes, and industry initiatives, including those introduced by the CLHIA. * **Sales communications:** Review sales communications before circulation, as required. **What you will bring:** * At least 5-7 years of experience in the financial services industry. * At least 3-5 years of experience in a regulatory compliance role. * Excellent knowledge of provincial insurance laws and regulations. * Working knowledge of applicable federal legislation, including PIPEDA and anti-money laundering and anti-terrorist