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Compliance Analyst

  • Employer: IA Clarington Inc.
  • Office: 522, University Avenue
  • City: Toronto
  • Province: Ontario
  • Job category: Compliance Generalist/Multidiscipline
  • Job ID: JR10007003
  • Job type: Permanent Job Full time
  • Apply before: 2021-01-23

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

IA Clarington Investments Inc. is seeking a detail-oriented self-motivated Compliance Analyst to join the Compliance team. Reporting to the Manager, Compliance, this dynamic role will support the Compliance Group with their oversight, administrative and reporting functions for compliance with securities regulations (mainly National Instruments 81-102, 81-105, and 81-106) and internal policies and procedures. The primary areas of compliance within the Analyst’s accountability may include, but are not limited to, Sales Practices monitoring, Sales Communications reviews and assistance with Training programs.

The Analyst will mainly be responsible for the following duties:

  • Review and assess marketing materials and other communications on a day-to-day basis
  • Conduct regular targeted reviews of the corporate website and social media accounts
  • Work with other internal business units in the preparation and review of regulatory documents
  • Evaluate and respond to requests relating to Sales activities and events on a day-to-day basis
  • Monitor business promotional activities and gifting regularly for guidelines adherence
  • Support the Manager in new employee training and periodic refresher training
  • Assist in the development, review and regular updating of internal procedures and guidelines
  • Help maintain Compliance documentation and recordkeeping
  • Assist in the development and implementation of compliance oversight for new products offerings and/or new regulatory initiatives
  • Assist the team in preparing reporting for senior management including detailed analysis of policy violations, ad hoc analysis and special reporting as required
  • Improve efficiency, adequacy and effectiveness of compliance review processes
  • Manage working relationships with internal partners across the organization
  • Stay up-to-date with regulatory developments especially with respect to sales practices and sales communications

Requirements                                                                                                                                                                                   

The successful candidate will possess the following qualifications and characteristics:

  • Post-secondary education
  • At least 2 years of experience in a mutual funds compliance environment
  • Knowledge of the mutual fund industry, participants and functions
  • Successful completion of the Canadian Securities Course or Investment Funds in Canada Course. Enrollment in or completion of additional investment industry courses (e.g. CPH, CFA, CIM) are considered an asset.
  • Bilingual in English and French is an asset
  • Effective organizational, administrative and time management skills, with ability to prioritize and manage a fast-paced workload of day-to-day and special projects
  • Attention to detail and ability to exercise sound judgement
  • Strong analytical, problem-solving and investigative-thinking skills
  • Excellent written and oral communication skills
  • Intermediate to advanced working knowledge of Microsoft Excel (formulas, macros, pivot tables, etc.) and Word
  • Proven interpersonal skills for building and maintaining working relationships with peers and internal partners
  • Reliable and thorough about quality of work
  • Ability to work independently and in a team-oriented environment
  • Willingness to learn and a proactive nature are highly valued

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.