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Senior Compliance Officer

  • Employer: T.E. Investment Counsel Inc.
  • City: Toronto
  • Job category: Business Administration, Finance and Accounting, Legal and Compliance
  • Job ID: J0518-0815
  • Job type: Regular full time

Company Overview

iA Investment Counsel Inc. is an indirect wholly owned subsidiary of the IA Financial Group (IAG: (TSE)). With over 4.3bn in AUM, the firm conducts its business primarily as a portfolio manager on behalf of private clients, foundations, and institutions under the T.E. Wealth and Leon Frazer brands. The firm also offers clients a variety of services ranging from financial planning, tax advice, manager selection and performance measurement. The firm is registered as a portfolio manager, exempt market dealer, and investment fund manager.

Description

We are looking to add 2 Senior Compliance Officers to our Team!

As part of the Legal & Compliance team, the Senior Compliance Officer will be responsible for providing day-to-day compliance support for the business activities of iA Investment Counsel Inc. and for supporting the Chief Compliance Officer in ensuring that the firm complies with all applicable rules and regulations including CSA, FINTRAC, AMLTF and Privacy regulations.

The Senior Compliance Officer reports to and supports the Chief Compliance Officer.

Primary Responsibilities:
• New account approvals
• Trade supervision and monitoring of client accounts
• Investment Policy Statement (IPS) compliance
• Marketing and sales communication monitoring/review including website and social media content
• Anti-Money Laundering regime including client identification, suspicious transaction review and risk assessments

Qualifications

Education:
• University Degree
• Canadian Securities Course (CSC)
• Conduct and Practices Handbook (CPH)

Skills & Qualifications:
• 5 years of experience in a compliance role at an investment firm
• Working knowledge of Canadian securities regulations including CSA & OSC rules applicable to portfolio management firms.
• Good Working knowledge of Microsoft Word and Excel.
• Excellent interpersonal and communication skills including drafting of policies and manuals
• Superior problem-solving and analytical skills
• Strong time management and project management skills
• Ability to think critically, multi-task, and make decisions in a fast-paced environment
• Self-directed with strong organization and prioritization skills with exceptional attention to detail
• High levels of initiative
• Knowledge of regulations pertaining to pooled fund products would be an asset
• Bilingualism (French/English) is a definite asset

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 accessiblecareers@ia.ca.

Working at iA Financial Group

We consider our employees to be our most important investment and we have a lot to offer them. Find out more about iA.

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.