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Bilingual Compliance Auditor

  • Employer: iA Securities
  • City: Toronto
  • Job category: Legal and Compliance
  • Job ID: J0618-0306
  • Job type: Regular full time

Company Overview

Do 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.

Description

Reporting to the Director, Complaints and Audit, the Bilingual Compliance Auditor will be responsible for completing branch reviews of registered branch and sub-branch locations across Canada. The role generally requires the individual to act with a very high level of independence in carrying out their regular duties and administering the Dealer’s branch review program, but may be called upon to assist in other Head Office compliance projects. Ability to travel extensively in Ontario and some travel across Canada is required.

Responsibilities:
• Test for compliance with Dealer policies and procedures and regulatory requirements in accordance with the Dealer’s branch review program.
• Completing reviews of assigned registered locations, including conducting interviews with Branch Managers, Representatives, and their supporting staff.
• Ensure that policies and procedures and supervisory standards are maintained by Branch Managers at assigned branches.
• Ensure adequate training and education is provided to Representatives and their supporting staff with respect to regulatory and Dealer policies and procedures.
• Preparing and issuing branch review reports that document identified issues and working with the Branch Manager and/or Representative to address the noted deficiencies.
• Maintain regular communication with each branch/sub-branch and all associated Representatives following the branch review to ensure that all issues raised in the review are adequately addressed so as to close the review in a timely manner.
• At the request of the Director, Complaints and Audit, provide additional analysis in complex cases, identify potential solutions and make appropriate recommendations to resolve compliance issues.
• Other duties as assigned.

Qualifications

• Bilingual in French and English
• At least 3-5 years experience in an IIROC retail compliance or branch audit function.
• Strong knowledge of the securities industry, current regulatory rules (IIROC), policies and procedures and industry guidelines as they relate to branch audits and best practices.
• Post secondary degree or diploma in business, finance, economics or other related discipline.
• Completion of the Canadian Securities Course and Branch Managers Course and/or OPD/PDO is required.
• Excellent oral and written communication skills.
• Willingness to travel extensively to Quebec and some travel across Canada.
• Exceptional organizational and time management skills and the ability to work independently.
• Working knowledge of Microsoft Word, Excel and Outlook.
• Experience and knowledge of ISM is an 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

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.