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Compliance Analyst

  • Employer: iA Clarington Investments
  • City: Toronto
  • Job category: Business Administration, Finance and Accounting, Legal and Compliance
  • Job ID: J0718-0540
  • Job type: Regular full time

Company Overview

We are iA Clarington

And we will be invested in you

As one of Canada’s leading investment management companies, iA Clarington brings clarity, integrity and commitment to a complicated global investment landscape. We believe passionately in the value of active management, the investment products we deliver, and the importance of maintaining unwavering attention to both the big picture and the smallest details. Home to a number of highly respected portfolio management teams, together, we earn the trust of advisors and investors by bringing diverse investment views forward through our broad selection of offerings.

As a wholly owned subsidiary of Industrial Alliance Insurance and Financial Services Inc. - Canada’s fourth-largest life and health insurance company - iA Clarington offers a wide range of investment products, including actively managed mutual funds, managed portfolio solutions and socially responsible investments.


Under the supervision of the Senior Analyst and reporting to the AVP Compliance, this dynamic role will support the Compliance Group with their oversight, administrative and reporting functions. The Analyst will assist in the oversight of certain business activities for compliance with internal policies and securities regulations, including NI 31-103, NI 81-101, NI 81-102 and NI 81-105.

The Analyst will be responsible for the following duties:
• Review and assess marketing materials and other fund-related communications
• Collaborate with other business units during the development of new marketing materials
• Conduct periodic targeted reviews of the corporate website and social media accounts
• Work with other internal business units in the preparation and review of regulatory documents
• Evaluate and respond to requests relating to Sales activities and events
• Monitor business promotional activities and gifting records to ensure guidelines are being adhered to
• Support Senior Analyst in new employee training and periodic refresher training
• Assist in the development, review and regular updating of internal procedures and guidelines
• Help maintain Compliance documentation and recordkeeping
• Assist in the development and implementation of compliance oversight for new products offerings and/or new regulatory initiatives
• Improve efficiency, adequacy and effectiveness of compliance review processes
• Manage working relationships with internal partners across the organization
• Ad hoc analysis, reporting and special projects as required
• Stay up-to-date with regulatory developments especially with respect to sales practices and sales communications


The successful candidate will possess the following qualifications and characteristics:
• Post-secondary education
• at least 2 years of experience in mutual fund compliance
• Excellent written and oral communication skills
• Knowledge of mutual fund industry, participants and functions
• Successful completion of the Canadian Securities Course or Investment Funds in Canada Course. Enrollment in or completion of additional investment industry courses (e.g. CPH, CFA, CIM) are considered an asset
• Attention to detail and ability to exercise sound judgement
• Intermediate to advanced working knowledge of Microsoft Excel and Word
• Excellent organizational, time management and interpersonal skills
• Strong analytical, problem-solving and critical-thinking skills
• Ability to work independently and in a team-oriented environment
• Willingness to learn and a proactive nature are highly valued


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

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.