JOB OVERVIEWThis role will ensure all assigned complaints, privacy incidents, 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 DOAid the Director of the CRI Team in the evaluation, approval and assignment of Reportable Matters received from several lines of business.Ensure all assigned Reportable Matters are logged on the CRI Team Database and the status is up to date with any pertinent information or resolution. Prepare an internal investigation report following internal standards for each Reportable Matter as required by CRI Incident and Complaint Handling Policy that includes a summary of the facts, nature of the Incident, previous/related issues, mitigating and/or aggravating factors, involved parties' comments, an assessment of potential liability, recommended sanctions, supporting documentation and Investigating Officer's comments. Draft substantive response letters in the prescribed format in accordance with the CRI Incident and Complaint Handling Policy outlining the entities final position and forward to the Director of the CRI Team or designated Senior Compliance Officer for review. Liaise with Agents, Branch Managers, Compliance Management, Legal Department, Executive Management Group, CIRO, and other regulatory and insurance business partners to resolve Reportable Matters, as appropriate.Monitor and report areas of risk to the Director of the CRI team that are discovered in the course of handling Reportable Matters. WHAT YOU WILL BRINGWritten and oral proficiency in French and English. Post-secondary education Five or more years of relevant investment industry experience dealing with an CIRO (formerly IIROC and MFDA) member firm or Investment Fund CompanyStrong verbal and written communication skills Experience reviewing and applying CIRO or National Instruments compliance requirements.Current knowledge of: regulations including relevant National Instruments; CIRO and other SRO Rules, Policies and Regulatory Notices; CSA National and Multilateral Instruments; applicable provincial and territorial securities rules and regulations; and federal and provincial privacy legislation.Completion or progress toward industry related designations such as Canadian Securities Course (CSC), or the Conduct and Practices Handbook (CPH), is considered an assetAbility to multi-task and work effectively and efficiently in a fast-paced, frequently changing environmentExperience managing complaints and investigations, preferably across different registration categories considered an asset.PC literate with advanced knowledge of MS Office (Excel, Outlook, PowerPoint and Word).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 [email protected], or call 416-364-1145 ext. 4747.