Key Responsibilities:
Reviewing and analyzing Tier 2 transactions and non-transaction operations
Advising branch managers when updates are required, or documents are missing
Responding to various email requests made to the Compliance Department
Providing compliance support to Branch Managers & other business divisions
Reviewing Sales Communications for Advisory Network
Validating the qualifications of Accredited Investors
Approving Outside Activities for Advisory Network
Participating in various supervision related tasks and ad hoc projects
Keeping abreast of changes in regulatory requirements and industry updates from relevant regulatory bodies to ensure that the organization is consistently compliant.
Fostering a culture of compliance within the organization, working closely with internal teams to promote awareness and understanding of compliance standards for retail accounts
Providing training and on-going assistance to new hired Compliance Officers
Education/Work Experience/Designations
2-3 years or more directly relevant investment industry experience with a CIRO member firm, preferably within a compliance related role
Licensed CIRO Supervisor
Knowledge of CIRO Policies and Procedures
Knowledge of AML (Anti-Money Laundering) Policies
Basic knowledge of the securities market regulatory framework
Analytical skills
Organization and prioritization skills
Proficient in MS Office (Outlook, Word, Access, Excel, PowerPoint)
Bilingual (English/French) required
EDUCATION AND ACCREDITATIONS
College diploma (DEC in Quebec) or University degree/ 5 or more years relevant industry experience
The Canadian Securities Course, Conduct & Practices Handbook Course, Investment Dealer Supervisor Course & Knowledge of the securities industry (requirement)
Level of knowledge advanced French language as the person will be required to work with investors and advisors in English and French on daily basis.
iA Financial Group* is the strength of a company with a human side, with its over 8,000 employees. Together, we have earned the trust of our more than four million clients and 25,000 advisors who have chosen us for their insurance, savings, and wealth management.
With over $200 billion in assets and half a billion invested in technological innovation, we’re a key player in the financial services industry in Canada and the United States. The secret to our success? Investing in you, one person at a time. Because, for over 125 years, we have believed that it’s by supporting our employees and surrounding ourselves with the most reputable leaders in the industry, we will continue to innovate.
At iA, we’re invested in you.
At iA Financial Group, we support and celebrate diversity. We strive to provide a workplace that is recognized as inclusive for all, regardless of ethnic origin, nationality, language, religious beliefs, gender, sexual orientation, age, marital status, family situation, or physical or mental disability.
Please note that if you need help or assistance to make the recruitment process more accessible for you, please Contact us here. Someone from our team will be happy to assist you with your needs.