Branch Auditor - British Columbia
- Employer: iA Financial Group
- Office: 1350, West Georgia Street
- City: Vancouver
- Province: British Columbia
- Job category: Business Administration, Finance and Accounting
- Job ID: JR10006287
- 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 thrive working with compliance and audits and have experience working within the mutual fund industry? Do you work well independently? This may be the perfect opportunity for you!
We are currently looking to add a Branch Auditor to our Team in British Columbia.
What YOU will be doing:
Test for compliance with Dealer policies and procedures and regulatory requirements in accordance with the Dealer’s branch review program.
Completing reviews of assigned registered locations, including conducting interviews with Branch Managers, Representatives, and their supporting staff.
Ensure that policies and procedures and supervisory standards are maintained by Branch Managers at assigned branches.
Ensure adequate training and education is provided to Representatives and their supporting staff with respect to regulatory and Dealer policies and procedures.
Preparing and issuing branch review reports that document identified issues and working with the Branch Manager and/or Representative to address the noted deficiencies.
Maintain regular communication with each branch/sub-branch and all associated Representatives following the branch review to ensure that all issues raised in the review are adequately addressed so as to close the review in a timely manner.
What YOU will bring:
At least 3-5 years experience in a compliance or branch audit function.
Strong knowledge of the mutual fund industry, current regulatory rules, policies and procedures and industry guidelines as they relate to branch audits and best practices.
Completion of the Canadian Investment Funds Course or Canadian Securities Course and Branch Managers Course and/or OPD/PDO is required.
Excellent oral and written communication skills.
Willingness to travel across Canada.
Working knowledge of Microsoft Word, Excel and Outlook.
Experience and knowledge of Univeris is an asset.
Bilingual in French and English would be a definite strong asset.
Qualified candidates will be contacted. Thank you for your interest in iA Financial Group!
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 firstname.lastname@example.org.