Sales Communications Analyst
- Employer: iA Securities
- City: Toronto
- Job category: Business Administration, Finance and Accounting, Legal and Compliance
- Job ID: J0918-0170
- Job type: Regular full time
Company OverviewDo 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.
Reporting to the Manager, Sales Communications, the Sales Communications Analyst role is an integral part of a versatile team whose main focus is the supervision of advisor advertising, sales literature and correspondence. The Sales Communications Analyst is primarily responsible for supporting advisors in order to provide reasonable assurance that:
• The firm, its employees and contracted advisors comply with applicable securities regulatory requirements & internal policies and procedures;
• The risk of reputational damage, regulatory sanction and discipline, client complaints and civil litigation is minimized;
• Actual and potential compliance violations & risk situations are pro-actively identified, investigated & resolved or escalated in an appropriate manner;
• The firm’s employees and contracted advisors receive high quality, accurate and timely compliance direction, advice, support and service, and these individuals are educated on their compliance responsibilities & requirements in relation to their sales communications.
• Acts independently, conducts relevant research and arrives at conclusions and/or recommendations based on the exercise of good judgement on moderately complex issues.
• Pro-actively identifies actual and potential violations of regulatory requirements, internal policies & procedures or other risk situations.
• Compliance review procedures are conducted in a high quality, risk based manner and appropriate follow-up actions are taken.
• Internal communications with the Compliance team and other internal partners are conducted in a professional and collaborative manner.
• Communications to advisors are conducted in a timely and professional manner, and provide direction on the appropriate corrective action.
• Produces and maintains complete records (audit trail) for future examination by the Regulators and Internal Audit.
• Forwards a copy to the Marketing department for production and delivery where required.
• Detects and reports any concerns relating to advisors’ marketing and advertising activities that create risk for the advisor, the dealer, and the integrity of the iA Securities brand, and be able to identify those concerns that require escalation.
• Participates in special projects requiring input and expertise, such as internal procedures and Policy & Procedure reviews/updates.
• Assists the Manager to develop and enhance corporate guidelines with respect to sales communications and co-op marketing supervision processes and remain well informed of industry rule changes.
• Maintains a high level of awareness of compliance related changes and developments in the securities industry through the review of publications, participation in industry associations, employee development initiatives, etc.
• Maintains the strength of the Sales Communications team and consistency in the application of the supervision process by actively participating in team meetings, contributing toward team goals and participating on team projects.
• Completes other duties and projects as assigned from time to time including, but not limited to, acting as back-up to colleagues.
• Thorough knowledge and understanding of the firm’s compliance policies & procedures and the practical application of relevant provincial securities and SRO (IIROC, Exchanges) rules and regulations and other applicable regulatory requirements.
• Good understanding of the firm’s business practices, organizational structure and general policies & procedures.
• Strong written and verbal business communication skills.
• Good knowledge of software applications (Word, Excel, Power Point, Adobe Acrobat), the internet and social media.
• Strong analytical skills and a keen eye for detail.
• Capable of simultaneously handling multiple tasks and meeting stringent deadlines.
• Able to recognize and handle sensitive and confidential information.
• Self-motivated, confident and capable of working both independently and in a team environment.
• Superior planning, organizational and time-management skills.
• Bilingualism in French and English is preferred.
• College diploma or University degree.
• As a minimum, (working towards) successful completion of the CSI Canadian Securities Course (CSC) and Conduct and Practices Handbook Course. (If not already completed upon hiring, the successful candidate will be required to complete these courses within the first year of employment.)
• Working towards or successful completion of the Branch Manager Course is an asset.
• Minimum 1-2 years of experience at a securities dealer, mutual fund dealer or a financial industry related firm.
• Knowledge of products offered by securities dealers.
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 firstname.lastname@example.org
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.