Compliance Officer - Complaints
- Employer: Investia Financial Services
- City: Vaughan
- Job category: Legal and Compliance
- Job ID: J0917-0746
- Job type: Regular full time
Company OverviewInvestia Financial Services Inc., a member of iA Financial Group, has been in operation since 1999. This growing and dynamic company offers a wide range of products and services related to the distribution of investment funds and segregated funds in order to meet the savings and retirement needs of its clients. With offices in British Columbia, Alberta, Ontario, Quebec and Nova Scotia, Investia has become a major national player, with more than 13.27 billion dollars in assets under administration. Because of its growth context and the mobility of its structure, Investia can offer its employees development opportunities.
Reporting directly to the Team Leader – Complaints, the successful candidate will be primarily responsible for investigating and responding to client complaints and regulatory requests. This role will also be a key resource to the Compliance Department and could be called upon to provide leadership and experience to other members of the Compliance team.
• Preliminary review and required document gathering with respect to complaints received from clients;
• Standard client acknowledgement communication, preliminary review to determine scope of complaint, and advisor contact throughout the process;
• Analyze evidence and document analysis to provide recommended outcome for complaint resolution;
• Draft client correspondence throughout the complaint handling cycle: from standard correspondence to substantive responses;
• Good working knowledge of MFDA regulation: Policy 2, Policy 3, and regulatory filing requirements
• Monitor and document complaint processes to ensure timely effective investigation and resolution of complaints and regulatory inquiries;
• Participate in Regional Business Seminars and Annual Conferences;
• Serve as a contact/resource for Regional Branch Managers, Compliance Staff and Associates;
• Assist in the implementation and delivery of Compliance Policy;
• Other projects as assigned.
- Previous mutual fund dealer and/or securities compliance experience required
- Post secondary degree with 3 to 5 years minimum experience in a Compliance role
- Canadian Securities Course or IFIC Mutual Funds Course or equivalent
- PDO/OPD or Mutual Fund Dealer Compliance Course or Branch Managers Course
- Exceptional communication skills, both verbal and written
- Ability to work independently, under pressure and meet strict deadlines.
- Some travel may be required
iA Financial Group is committed to fostering a workplace that promotes diversity and inclusion. We can provide accommodation in our recruitment and selection processes to applicants with disabilities where required. Please contact your Recruiter, or send an email to firstname.lastname@example.org
iA Financial Group adheres to an equal access employment program and encourages women, aboriginal persons, persons with disabilities, and members of visible minorities to apply.