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Director of Compliance - Tier 1 Supervision

  • Employer: IA Securities Inc.
  • Office: 522, University Avenue
  • City: Toronto
  • Province: Ontario
  • Job category: Legal and Compliance Services
  • Job ID: JR10003250
  • 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.


You are a great communicator and you have excellent relationship skills?  You are a natural leader and are great at influencing people?  We have an opportunity for you in our compliance department!  We are currently looking to hire a Director of Compliance – Tier 1 Supervision to complete our growing team. 

This job is responsible for designing and maintaining the Tier 1 Surveillance Program.  This program is for all registered branches across Canada in accordance with regulatory requirements in particular those established by securities regulations and Self-Regulatory Organizations (SROs), including the Investment Regulatory Organization of Canada (IIROC) as well as internal policies and procedures.

Here are the challenges that are waiting for you:

  • Manage a team of three Senior Branch Managers, 35-40 Branch Managers and Branch Administrators
  • Oversee day-to-day management of system integrity of compliance reporting, product due diligence, regulatory inquiries and support of all compliance areas
  • Supervise frequency and scheduling of branch visits
  • Develop and recommend policy and procedure changes based on regulatory events
  • Keep abreast of new or proposed regulatory policies and industry trends analyze the impact of these potential changes on our trade surveillance program
  • Train and develop Tier 1 employee
  • Draft and distribute Compliance memos
  • Act as the Compliance subject matter expert on all firm initiatives
  • Update Policy and Procedures and Forms as needed


  • 10+ years of relevant securities experience
  • University or college degree (or equivalent experience)
  • Experience in dealing with various regulatory organizations including but not limited to IIROC, AMF, OSC and OBSI 
  • Strong industry knowledge across a number of products
  • Bilingual, an asset

If you are have superior analytical skills and you are capable of advising on a diverse range of compliance matters, this opportunity is for you!  Applied today and join on of the greatest team in the industry! 

If you want to learn more about this position, come chat with me on LinkedIn!

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