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Compliance Manager

  • Employer: iA Clarington Investments
  • City: Toronto
  • Job category: Business Administration, Finance and Accounting, Legal and Compliance
  • Job ID: J0718-0541
  • 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.

Description

Reporting to the Assistant Vice President, Compliance, the Compliance Manager will join a team of Compliance professionals. The Compliance Manager will be the main point of contact to provide advice and guidance to Sales and Marketing teams on compliance related matters. iAC seeks to attract a dynamic individual who demonstrates strong practical intellect and can effectively navigate the complexities of the role and the diversity of the organization.

The Compliance Manager will be responsible for:
• Managing the sales practices and/or sales communications compliance oversight program, including:
o reviewing and approving all sales communications and sales practices requests
o maintaining and improving policies and procedures
o review and improvement of the program, as necessary;

• Working with the Sales team in connection with supervising sales practices compliance, including:
o Parts 5 and 7.3 of NI 81-105
o administration of compliance monitoring and reporting activities
o provision of sales practices educational sessions, as required;

• Working with the Marketing and Product Management group in connection with sales communications compliance, including:
o review of all sales communications and the website to enforce Part 15 of NI 81-102, Parts 5, 6 and 10 of NI 81-106
o administration of compliance monitoring and reporting activities
o provision of ongoing feedback and education to business partners to improve compliance
o provision of sales communications educational sessions, as required;

• Other responsibilities may include:
o Compliance orientation/training for certain new employees
o Managing ad hoc and ongoing compliance activities
o Fielding compliance inquiries from internal business partners and independently evaluating situations
o Escalating issues to management as needed.

Qualifications

• Post-secondary education
• At least 5 years experience in mutual fund compliance with a focus on Sales practices and/or Sales communication compliance
• Additional experience in operational compliance an asset
• 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
• Must have strong judgment and decision-making skills
• 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

TO2018

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.