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Compliance Analyst

  • Employer: IA Investment Counsel Inc.
  • Office: 800-26 Wellington Street East
  • City: Toronto
  • Province: Ontario
  • Job category: Legal and Compliance Services
  • Job ID: JR10002869
  • 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

Purpose of Job

The objective of the position is to support sales compliance officers and compliance management in order to provide reasonable assurance that:

  • the firm, its employees and contracted advisors comply with applicable securities regulatory requirements and internal policies and procedures;
  • anti-money laundering/counter-terrorist financing (AML/CTF) and privacy requirements are complied with;
  • the risk of reputational damage, regulatory sanction and discipline, client complaints and civil litigation is minimized;
  • actual and potential compliance violations and risk situations are pro-actively identified, investigated and resolved or escalated in an appropriate and timely manner; and
  • 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 and requirements.

Major Accountabilities:

  • 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. Communications to advisors are conducted in a timely and professional manner plus provide direction on the appropriate corrective action.
  • Complete records are maintained for future examination by the Regulators and Internal Audit
  • Participates in special projects requiring input and expertise, such as Compliance Manual reviews/updates, technology upgrades, regulatory request and testing.
  • 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.
  • Completes other duties and projects as may be assigned from time to time including, but not limited to acting as back-up to colleagues.

Qualifications

  • Thorough knowledge and understanding of the firm’s compliance policies & procedures and the practical application of relevant provincial securities commission and national instruments rules and regulations and other applicable regulatory requirements.
  • 1 or more years working in the financial services industry, preferably in a similar role
  • Strong written and verbal business communication skills.
  • Good knowledge of software applications (including Word, Excel and Power Point)
  • 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.
  • University, college diploma or equivalent work experience.
  • Completion of CSC, CPH and Branch Manager Course would be an asset
  • Bilingual (English/French) would be an asset.

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.