Compliance Officer - Toronto, Canada - iA Groupe financier / iA Financial Group

iA Groupe financier / iA Financial Group

Verified Company

Toronto, Canada

2 weeks ago

Posted by:

Sophia Lee

beBee Recruiter

Description

Purpose of Job

The Compliance Officer will establish and nurture strong professional relationships with Branch Manager and Portfolio Manager teams, ensuring strict adherence to regulatory and firm compliance standards and serving as a key point of contact and collaboration.

It involves meeting daily regulatory obligations. Responding to queries received from our business partners, ensuring effective communication and resolution. Additionally, this role includes actively participating in ad hoc projects.

Reporting Relationships

Reports to:
Director, Managed Accounts & Tier 2 Supervision

Key Responsibilities:

Reviewing and analyzing daily Tier 2 transactions and nontransaction operations
Review New Account Documentation Forms for the Managed Program e.g. Investment Policy Statement and Managed Account Agreement
Advising branch managers when updates are required or documents are missing
Providing compliance support to Branch Managers & other business divisions
Reviewing Sales Communications for PM teams
Participating in various supervision related tasks and assisting the Managed Accounts Supervisor or the Director in 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 ongoing assistance to new hired Compliance Officers

Education/Work Experience/Designations

23 years or more directly relevant investment industry experience with a CIRO member firm, preferably within a compliance related role
The Canadian Securities Course, Conduct & Practices Handbook Course, Investment Dealer Supervisor Course & Knowledge of the securities industry (an asset)
Licensed CIRO Supervisor
Knowledge of CIRO Rules
Knowledge of AML (Anti-Money Laundering) Rules
Analytical skills
Organization and prioritization skills
Proficient in MS Office (Outlook, Word, Access, Excel, PowerPoint)
Bilingual (English/French) strongly preferred

EDUCATION AND ACCREDITATIONS

College diploma (DEC in Quebec) or University degree/ 5 or more years relevant industry experience

Company Overview:

About:

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 50,000 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.

Our commitment to Diversity and Inclusion:
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.