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Trade Conduct Compliance Officer

  • Employer: iA Private Wealth Inc.
  • Office: 2200, McGill College Avenue
  • City: Montreal
  • Province: Quebec
  • Job category: Compliance Generalist/Multidiscipline
  • Job ID: JR10009819
  • Job type: Permanent Job Full time
  • Apply before: 2021-09-24

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

Company Overview

Do you want to work for an established and growing Canadian company in our Quebec City, Montreal or Toronto offices, or in one of the service points in our extensive Canada-wide network?

iA Private Wealth inc. (iAPW) 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 iA Financial Group, iAPW 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.

Position overview
Reporting to the Director of Trade Conduct Compliance, the position will entail daily retail and institutional trade desk supervision. The incumbent will need to be licensed with IIROC as a supervisor (at a minimum) Tier 2 (can be done within 3 months of arrival).

Duties & Responsibilities

  • 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

  • Conduct compliance risk trend analysis

  • Perform various other projects and duties as assigned 

Requirements:

  • Minimum of 4-5 years’ experience in IIROC dealer compliance

  • CSC and CPH course (current)

  • 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 very high level of accuracy 

  • Enhanced software knowledge (specifically Word and Excel)

  • Bilingualism is a strong asset

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.