Compliance Officer- Complaints and Investigations
- Employer: iA Securities
- City: Montréal
- Job category: Business Administration, Finance and Accounting, Legal and Compliance
- Job ID: J0517-0859
- 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.
The Director of Compliance, is looking for a Compliance Officer- Complaints and Investigations for it's Montreal's team. He will entail investigating client complaints and internal investigations.
1. Reviews and analysis of Internal Investigations, including suitability analysis and profit and loss.
2. Reviews and analysis of client Complaint Investigations.
3. Regulatory filings (COMSET).
4. Correspondence with regulators (IIROC and SRO’s).
5. Record reviews.
6. Supervisory reviews.
7. Email reviews.
8. Policies and Procedure review.
9. Report writing (Investigation summaries).
10. Correspondence with Client and regulators.
11. Assist Legal counsel in preparation for arbitration, SRO disciplinary or civil litigation.
12. Maintain Complaints database and investigation logs.
13. Internal reporting as needed.
14. Other tasks as needed.
Education College Diploma or University Degree
Five years or more relevant industry experience
Licensed IIROC Supervisor (Minimum Tier 2)
Good understanding of current IIROC and SRO environment
Good handle of risk factors of a regulated environment
Excellent verbal and written communication skills
Bilingual required (both French and English)
The candidate will need to have good knowledge of our current regulatory environment (IIROC) and be a licensed supervisor.
** 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.