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About the Role

As a Compliance Officer, you will play a key role in establishing and nurturing strong professional relationships with Branch Managers and Portfolio Manager teams, ensuring strict adherence to regulatory and firm compliance standards. This position is a great opportunity to showcase your skills and fully realize your potential within a caring and trustworthy company. Here, people and their development are at the heart of our priorities, fostering an environment that encourages collaboration and innovation.

Responsibilities

Review and analyze daily Tier 2 transactions and non-transactional activities.
Assess new account documentation for the Managed Program.
Ensure account approvals align with client suitability and fully documented investment instructions.
Monitor adherence of Portfolio Managers to policies outlined in the Compliance Manual.
Identify gaps or deficiencies and advise Branch Managers on required updates or missing documentation.
Provide ongoing compliance guidance to Branch Managers and other business units.
Respond to inquiries and requests directed to the Compliance Department related to managed accounts.
Review and approve sales communications for Portfolio Manager teams.
Stay current on regulatory changes, policy updates, and industry developments to ensure continuous compliance.
Provide ongoing assistance and knowledge sharing within the team.
Promote a strong culture of compliance by increasing awareness and understanding of regulatory standards.
Support the development and delivery of training for newly hired Compliance Analysts, as needed.
Assist the Managed Accounts Supervisor/Manager with ad hoc projects and supervision-related initiatives.
Contribute to broader compliance and operational improvement initiatives.

Requirements

Strong analytical skills.
Organization and prioritization skills.
Strong, clear, and professional communication skills.
Knowledge of CIRO rules and regulations, and Anti-Money Laundering requirements.
2-3 years or more directly relevant investment industry experience with a CIRO member firm, preferably within a compliance related role.
Canadian Investment Regulatory Exam (“CIRE”) and Retail Securities Exam and Supervisor Exam.
Minimum two years of relevant experience acceptable to the Corporation.
Licensed CIRO Supervisor.
Applicants must be authorized to work for any employer in the U.S.
Unable to support or take over sponsorship of employment visas at this time, including H-1B visas and participation in STEM OPT work authorizations.

Skills

Analytical skills
Organization skills
Prioritization skills
Communication skills
CIRO rules and regulations
Anti-Money Laundering requirements

Location

Hybrid

Work Type

Hybrid
Full-time

Experience Level

2-3 years or more directly relevant investment industry experience
Minimum two years of relevant experience

Education Level

Canadian Investment Regulatory Exam (“CIRE”)
Retail Securities Exam
Supervisor Exam

Benefits

Flexible group insurance
Competitive pension plan
Stock purchase plan
Vacation and wellness/personal development days
Telemedicine
Employee and family assistance program
Ergonomic furniture program
Performance bonus
Discounts on iA products
Medical, Dental, and Vision Insurance
Company-Paid Term Life, AD&D Insurance, Long and Short-Term Disability Insurance
Company-Paid Health Advocate Benefit
Wellness Allowance
Generous Paid Time Off Plan and Holidays
401(k) With Company Match
Competitive Bonus Program
Employee Assistance Program
Employee Discount Program

About the Company

iA Private Wealth Inc.
iA American Warranty LP, American Amicable Group of Companies, iA American Life Insurance Company and Industrial Alliance Portfolio Management LLC are all part of iA Financial Group, one of the largest insurance and wealth management groups in North America.
In the last few years, iA American has been thoughtfully built by iA Financial Group through the acquisition of several US based entities.
Our suite of products and services includes automotive protection packages, reinsurance options, dealer support, direct-to-consumer products, in-house administration, life insurance, progressive special markets, and more!
iA Financial Group is the fourth largest life and health insurance company in Canada and offers a wide range of products for all stages of life and to meet the needs of clients across its vast sales network.
Founded in 1892, iA Financial Group’s stability and solidity make it an employer of choice that invests in its employees and their development over the long term.
Our CEO Denis Ricard won #1 Insurance CEO in Canada from Glassdoor!
iA American has been thoughtfully built by iA Financial Group through the acquisition of Innovative Aftermarket Systems (IAS), SouthwestRe, and Dealers Assurance Company (DAC).
Our US headquarters is in Austin, TX.
Our suite of products and services includes automotive protection packages, reinsurance options, dealer support, direct-to-consumer products, and in-house administration.
American Amicable traces its roots back to 1910 and is a progressive special markets insurer.
Based in Waco, TX, the Company offers innovative life insurance and annuity products developed to target the individual needs of protection, wealth creation, and estate preservation.
iA Financial Group is the strength of a company with a human side, with its over 9,000 employees.
Together, we have earned the trust of more than five 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.
We’re invested in you.

Equal Opportunity

Our differences make us unique, and even stronger. That’s why, at iA Financial Group, we are committed to supporting and celebrating diversity. We are continually building a team that is as diverse as the people and communities we serve. By combining our different ways of seeing and experiencing the world, we will always be stronger than the sum of our parts!
Our differences make us unique, and even stronger. That’s why, at iA Financial Group, we are committed to supporting and celebrating diversity. We are continually building a team that is as diverse as the people and communities we serve. By combining our different ways of seeing and experiencing the world, we will always be stronger than the sum of our parts!