Senior compliance officer
- Employer: iA Securities
- City: Montréal
- Job category: Business Administration, Finance and Accounting
- Job ID: J0418-0225
- Job type: Regular full time
Company OverviewDo you want to work for an established and growing Canadian company in our Quebec City, Montreal or Toronto offices, or in one of the service points in our extensive Canada-wide network?
iA Securities (iAS) is a brokerage firm which offers equities, bonds and pooled investment funds to institutional and retail clients.
Our network of investment advisors supports and guides clients in their investment decisions. We also offer securities trading consulting and research services with respect to capital markets and institutional financing.
A member of iA Financial Group, iAS is led by an experienced team, driven by a desire to serve our clients with professionalism while conducting business in accordance with the highest industry standards.
Under the responsibility of the Director of Compliance - Retail, the incumbent must be a licensed IIROC supervisor and have a good knowledge of IIROC policies and procedures.
Duties related to business conduct include:
- Reviewing daily Tier 2 transactions
- Analyzing daily transactions
- Analyzing transactions in order to identify trends
- Performing a daily review of various management reports
- Reviewing non-transaction operations
- Performing a monthly review of account statements
- Performing a monthly transaction review
- Advising branch managers when updates are required or documents are missing
- Following up on the various requests made by the Compliance Department
- Providing support to branch managers in areas related to compliance
- Preparing reports for the analysis of various files
- College diploma (DEC in Quebec) or University degree /
- 5 or more years relevant industry experience
- The Canadian Securities Course Knowledge of the securities industry & Branch manager course (an asset)
- Licensed IIROC Supervisor
- Knowledge of IIROC Policies and Procedures
- Basic knowledge of the securities market regulatory framework
- Understanding of financial instruments
- Analytical skills
- Organization and prioritization skills
** Important – Please submit your application in English for consideration**
iA Financial Group is committed to having an equal access employment program and welcomes applications from women, visible minorities, Aboriginal peoples and disabled persons. Any use of the masculine form is to simplify the text and includes the feminine form.