Officier de conformité, conduite de la négociation
- Employer: IA Securities Inc.
- Office: 2200, McGill College Avenue
- City: Montreal
- Province: Quebec
- Job category: Legal and Compliance Services
- Job ID: JR10004644
- Job type: Permanent Job Full time
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.
Do you want to work for an established and growing Canadian company in our Quebec City, Montreal or Toronto office, 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 the 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 of Trade Conduct Compliance, the position will entail daily retail and institutional trade desk supervision. The candidate will need to be licensed with IIROC as a supervisor (at a minimum) or a Tier-2 supervisor (can be done within three months of arrival).
The job includes the following areas:
- Conduct Tier-2 institutional and retail trade supervision
- Conduct daily and monthly trade desk supervision (equities, bonds and options)
- Address, detect, prevent and report manipulative and deceptive trading activity
- Identify, review and assess account concerns
- Prepare and analyze compliance reports
- Monitor pro accounts
- Monitor Insiders, Grey and Restricted lists, short sales
- Manage compliance documentation databases
- Manage trade error reconciliations
- Perform various other projects and duties as assigned
- Conduct compliance risk trend analysis
- University degree preferred
- Minimum of three years of experience in IIROC dealer compliance
- CSC and CPH course (current)
- Bilingual French English required
- In-depth knowledge of the Canadian securities industry, including IIROC rules
- Strong problem-solving skills
- Ability to work well in a team environment and have excellent and effective verbal and written communication skills
- Strong analytical skills
- Highly organized with good attention to detail and a very high level of accuracy
- Enhanced software knowledge (specifically Word and Excel)
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 email@example.com.