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Senior Vice-President and Chief Compliance Officer

  • Employer: IA Securities Inc.
  • Office: 522, University Avenue
  • City: Toronto
  • Province: Ontario
  • Job category: Legal and Compliance Services
  • Job ID: JR10002273
  • Job type: Permanent Job Full time

Company Overview

iA Financial Group is the fourth largest life and health insurance company in Canada and offers a wide range of products for all stages of life and to meet the needs of clients across its vast sales network. Founded in 1892, iA Financial Group’s stability and solidity make it an employer of choice that invests in its employees and their development over the long term.

With operations across Canada and in the United States, iA Financial Group and its over 5,000 employees work hard every day to offer the best service to over four million clients.

Description

Industrial Alliance Securities Inc. (iAS), a member of the IA Group of Companies, is a growing, Canadian-owned investment dealer.

We offer a workplace where everyone plays an essential role in the success of our Company and where individual efforts are acknowledged.

Description:

This role will report directly to the CEO and Ultimate Designed Person (UDP) of iAS.  The primary purpose of the role is to provide independent compliance oversight and to assist the Senior Management team in meeting its regulatory requirements and obligations.  This will be accomplished with the support of their team of approximately 50 individuals led by 4 directors.  In addition to satisfying all regulatory requirements of the dealer, the candidate will also build, develop and solidify a strong compliance team that is well prepared to assist Representatives in all aspects related to dealer compliance requirements, issues and initiatives.

Essential Functions:

  • Lead a team of 4 directors each heading up departments within tier 2 compliance.  Departments include a number of functions including Retail Compliance, Managed Account Supervision, Trade Desk Compliance Branch Audit, Complaint Handling and Registrations.
  • Oversee the overall IAS Compliance Regime including registration of representatives, trade supervision, branch audits, complaint handling, review of marketing materials, websites and social media.
  • Oversight of capital markets and institutional trading compliance.     
  • Establish, implement and maintain proper policies and procedures
  • Must have good communication and presentation skills
  • Liaise regularly with other Senior Management, (i.e. SVP Operations, President, VP Tier 1 compliance, SVP Finance and VP Technology) to ensure that awareness and integration of compliance initiatives is properly understood and implemented
  • Report regularly and on a timely basis with Senior Management as well as the Board, including regular quarterly board reports and annual certifications related to the compliance regime. 
  • Work with CCO’s of IA affiliates to ensure a consistent compliance standard that leverages the strengths and expertise of the wealth affiliates.    
  • Interact with Regulators (IIROC and Provincial Securities Commissions) and other industry groups to address regulatory exams, complaints, investigations and normal course enquiries
  • Attend applicable industry events and forums to stay abreast of the changing regulatory landscape and various industry initiatives, issues and best practices.
  • Other accountabilities as prescribed by the CEO and UDP and other regulatory bodies

Qualifications:

  • Bachelor’s degree or College Diploma
  • Minimum 10 years of relevant compliance experience and managing a compliance department
  • Excellent communication and presentation skills, including oral and written skills
  • The CCO is a regulatory prescribed position, so the candidate must meet the qualification requirements for CCO registration under securities laws (NI 31-103)
  • The individual must also be registered on the National Registration Database (NRD), or have previously been registered on the NRD
  • Excellent knowledge of compliance and regulatory requirements
  • Strong knowledge of financial products and services
  • Good knowledge of insurance sector
  • Availability to travel

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.

Our Commitment

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.

Also, we are 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.