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About the Role
This role is responsible for designing and maintaining the Business Conduct & Tier 1 Surveillance Program for all registered branches across Canada, ensuring compliance with regulatory requirements and internal policies.
Responsibilities
- Manage a team of three Senior Branch Managers, 40-45 Branch Managers and Branch Administrators
- Oversee day-to-day management of system integrity of compliance reporting, product due diligence, regulatory inquiries and support of all compliance areas
- Support the Senior Branch Managers and the Branch Managers in servicing the advisors and the branches
- Responsible for the branch visit program including supervision of frequency and scheduling
- Develop and recommend policy and procedure changes based on regulatory events
- Keep abreast of new or proposed regulatory policies and industry trends analyze the impact of these potential changes on our trade surveillance program
- Train and develop Tier 1 employee
- Draft and distribute Compliance memos
- Act as the Compliance subject matter expert on all firm initiatives
- Update Policy and Procedures and Forms as needed
Requirements
- 10+ years of relevant securities experience
- Available to travel occasionally
Skills
- Strong leadership skills
- Problem solving skills
- Strong industry knowledge across a number of products
- Great communication and presentation skills
- Fluent in French
- Advanced level of English
Location
- Montreal
- Toronto
Work Type
- Hybrid
Experience Level
- 10+ years
Education Level
- Bachelor or College Degree
Salary/Compensations
- 130,000$ - 160,000$ CAD per year + bonus
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
About the Company
- iA Financial Group is a company with over 8,000 employees, serving over four million clients and 25,000 advisors in insurance, savings, and wealth management.
- With over $200 billion in assets and half a billion invested in technological innovation, we are a key player in the financial services industry in Canada and the United States.
- We believe in supporting our employees and surrounding ourselves with reputable leaders to continue innovating.
Equal Opportunity
- 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.