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Compliance Officer

  • Employer: iA Private Wealth
  • Office: 522, University Avenue
  • City: Toronto
  • Province: Ontario
  • Job category: Compliance Generalist/Multidiscipline
  • Job ID: JR10009744
  • Job type: Permanent Job Full time
  • Apply before: 2021-08-06

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

Description

Under the responsibility of the Director of Compliance - Retail, the incumbent must be a licensed IIROC supervisor and have a good knowledge of IIROC policies and procedures.

Duties related to business conduct include:
 

Retail Supervision
- Reviewing and analyzing daily Tier 2 transactions and non-transaction operations
- Analyzing and performing a monthly review of account statements
- Advising branch managers when updates are required or documents are missing
- Following up on the various requests made by the Compliance Department
- Providing compliance support to branch managers & other business divisions
- Review Sales Communications for Advisory Network

- Validation of the qualification of accredited Investor

Qualifications

- Bilingualism (French and English)

- College diploma (DEC in Quebec) or University degree /
- 3 or more years relevant industry experience
- The Canadian Securities Course Knowledge of the securities industry & Branch manager course (an asset)
- Licensed IIROC Supervisor
- Knowledge of IIROC Policies and Procedures

- Knowledge of AML (Anti-Money Laundering) Policies

- Basic knowledge of the securities market regulatory framework
- Analytical skills
- Organization and prioritization skills
 

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 acquisitiontalents-talentacquisition@ia.ca.