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Compliance Officer

  • Employer: IA Securities Inc.
  • Office: 2000, McGill College avenue
  • City: Montreal
  • Province: Quebec
  • Job category: Legal and Compliance Services
  • Job ID: JR10002788
  • 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

You are working in the securities industry and passionate about compliance? We have an opportunity for you!

Industrial Alliance Securities is looking to hire a Compliance Officer in its Montreal Office. Under the responsibility of the Director of Retail Compliance, the incumbent must have passed the Canadian Securities and the Branch Manager courses and also have a good knowledge of IIROC Policies and Rules. The incumbent will be primarily responsible for Tier 2 retail supervision of Registered Representatives in both French and English speaking provinces.

 
Duties related to business conduct include:

Retail Supervision


- Reviewing & analyzing daily Tier 2 transactions
- Performing a monthly review of account statements
- Performing Trend Analysis for monthly transaction reports,
- Performing a daily review of various management reports
- Approval of cheques and wires in accordance with AML principals.
- Collaborating with Branch Managers for client inquiries & missing documentation
- Following up on the various requests made by the Compliance Department
- Providing support to all areas of the business on Compliance Policies
- Review and Assess Advisor Outside Business Activities

- Conduct internal reviews and investigations where necessary

- Preparing reports for the analysis of various files
- Review Sales Communications for Advisory Network

- Validation of the qualification of accredited Investor

Qualifications

- College diploma (DEC in Quebec) or University degree /
- 2 or more years compliance experience in financial services,

- The Canadian Securities Course & Branch Manager Course (IIROC)
- Proficient in French and English Language (verbal and written),

- Knowledge of AML (Anti-Money Laundering) Policies

- Excellent knowledge, and the relevant practical application, of regulatory compliance and corporate governance.

- Comfortable in dealing with individuals at all levels of the organization,

- Basic knowledge of the securities market regulatory framework
- Good understanding of financial instruments and suitability
- Ability to work independently and be self-motivated
 

We cannot wait for you to join the team, apply Today!

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.