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Bilingual Compliance Administrator

  • Employer: Investia Financial Services
  • City: Vaughan
  • Job category: Business Administration, Finance and Accounting, Legal and Compliance
  • Job ID: J0518-1312
  • Job type: Regular full time

Company Overview

Investia 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.

Description

Reporting to the Coordinator - Corporate Branch Managers, this role is suited for an individual looking to develop their skills in Compliance and work towards a career as a Compliance Officer.

We are looking for a Bilingual Compliance Administrator to join our team. This role is available due to growth and needs someone who is eager, flexible and results focused. We offer a team oriented environment with challenge, open communication, growth and much more. The role entails compliance support to the entire team and offers a vast learning opportunity.

Responsibilities:
• Assist in review of all trades in Order Affirmation status;
• Assist in daily Address Change Report review;
• Assist with Tier 2 Leverage review and approval process;
• Assist in KYC Update Reviews;
• Assist in Limited Authorization form processing;
• Provide coverage to Corporate Branch Managers and other Head Office compliance staff;
• Other duties as assigned;


Essential Functions:
- Assist with the preparation of monthly and quarterly reporting to Management and Board regarding complaint statistics;
- Assist Compliance Officers in the preparation of client mailings and electronic surveys as needed;
- Assist with data retrieval for the investigation of client complaints and internal investigations;
- Handle and maintain the off-site storage of documents with Iron Mountain;
- Other projects as assigned.

Qualifications

• University degree or equivalent post-secondary education;
• Excellent knowledge of the mutual fund industry;
• Minimum 2-3 years of compliance supervision experience and 3-5 years in the Mutual Fund Industry;
• Completion of the Canadian Investment Funds Course and Exempt Market Products Course, or Canadian Securities Course;
• Completion of the Branch Managers Course or either the Officers, Partners and Directors (OPD) Course or Partners, Directors and Officers (PDO) Course;
• Ability to understand, analyze and interpret Regulatory legislation.
• Excellent problem solving, organizational and communication skills.
• Ability to work both independently and as part of a team.
• Must be fluent in both, French and English.

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.