Investment Compliance Advisor – Legal (iAIM) - Quebec or Toronto
- Employer: iA Financial Group
- Office: 1080, Grande Allee West
- City: Québec
- Province: Quebec
- Job category: Legal and Compliance Services
- Job ID: JR10005647
- 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 enjoy working directly with the key players in the financial markets? Do you have an active interest in the world of investments and want to be responsible for the success of major files while working independently? Are you known for your sense of initiative, your professionalism, your high ethical standards and your communication skills? Are you interested in working with computer systems? If so, this position is for you! The iA Investment Management (iAIM) compliance team is looking for a compliance advisor.
iAIM is iA Financial Group’s portfolio manager. It manages assets comprised of general funds of insurance companies, segregated funds, mutual funds and managed accounts valued at over 60 billion dollars.
The compliance team works with portfolio managers and management to ensure that the company’s operations comply with securities legislation, internal policies and procedures, and industry practices.
Your role will be to actively participate in the implementation of the compliance program. More specifically, you will:
- Be responsible for completing compliance projects, in collaboration with the different teams (portfolio management, trading and systems) and with management
- Be the investment sector’s person responsible for regulatory risk management
- Be responsible for drafting and deploying new policies and procedures
- Perform verifications and tests with respect to adherence with compliance policies (soft dollar standards, best execution, fair allocation, personal transactions, etc.)
- Code the investment guidelines of the various portfolios in Bloomberg and monitor pre-trade and post-trade compliance
- Help prepare analyses, notes and reports submitted to management
Interested? We want to learn more about you!
- Law degree
- Member of the Bar of Ontario
- At least three years of relevant work experience
- Keen interest in the asset management industry, knowledge of financial products and understanding of the role of the various players in the financial industry (broker, portfolio manager, investment fund manager, custodian)
- In-depth knowledge of securities legislation, specifically 31-103 and investment constraints (81-102 and Guideline G2)
- Knowledge of investment guidelines coding and monitoring in Bloomberg AIM (CMGR + VMGR)
- French (asset)
- Comfortable using IT tools and software
- Canadian Securities Course or other financial industry course (asset)
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.