Compliance Analyst, Assurance

CI Financial Corp

Base: $55,000-$90,000 usd py; bonus/equity: not sp...
Onsite
Bachelor's degree in business or finance
2+ years financial services experience
Knowledge of investment advisors act of 1940
The role involves performing compliance audits and assessments to identify potential risks and areas for improvement within the wealth management sector

Job Summary

  • The role involves performing compliance audits and assessments to identify potential risks and areas for improvement within the wealth management sector.
  • Candidates will collaborate with business lines to develop remediation plans and track the implementation of recommended actions to strengthen internal controls.
  • The company offers a comprehensive benefits package including 401(k) matching, medical plans, and paid professional designations.

Matching Summary

The role involves performing compliance audits and assessments to identify potential risks and areas for improvement within the wealth management sector.

Salary

Base: $55,000-$90,000 USD per year; Bonus/Equity: Not specified; Benefits: 401(k) match, Medical, Dental, Vision, Paid Leave

Skills & Requirements

Must-have

  • Bachelor's degree in business or finance
  • 2+ years Financial Services experience
  • Knowledge of Investment Advisors Act of 1940
  • Experience with compliance audit procedures
  • Proficiency in data analysis tools like Excel

Nice-to-have

  • Registered Investment Adviser experience
  • Experience with Schwab Advisor Center
  • Familiarity with Global Relay surveillance tools
  • Portfolio Management software experience
  • Strong interpersonal and communication skills

Key Requirements

  • Bachelor's degree required
  • 2+ years industry experience
  • US work authorization required
  • Understanding of federal securities laws
  • Must be 18 years or older

Work Rights

Must have unrestricted work authorization to work in the United States

Tailored Resume

Cover Letter