Reporting directly to the Coordinator, Complaints and Investigations, the successful candidate will be primarily responsible for investigating and responding to client complaints and regulatory requests. This role will also be a key resource to the Compliance Department and could be called upon to provide leadership and experience to other members of the Compliance team.
Conduct investigations of client complaints in accordance with MFDA/IIROC Member Rules, including detailed analysis of client files, profit and loss calculations, suitability analysis and review of relevant correspondence;
Conduct internal investigations, as required, in respect of registrant conduct and client trading;
Standard client acknowledgement communication, preliminary review to determine scope of complaint, and advisor contact throughout the process;
Analyze evidence and document analysis to provide recommended outcome for complaint resolution;
Draft client correspondence throughout the complaint handling process: from standard correspondence to substantive responses;
Prepare responses for information requests from regulators and OBSI, information access requests and document production orders;
Monitor and document complaint processes to ensure timely effective investigation and resolution of complaints and regulatory inquiries;
Serve as a contact/resource for Corporate Branch Managers, Compliance Staff and Advisors;
Assist in the implementation and delivery of Compliance Policy;
Other projects as assigned.
Previous mutual fund dealer and/or securities compliance experience required;
Strong understanding of MFDA/IIROC regulation and regulatory filing requirements;
Post-secondary degree with 3 to 5 years minimum experience in a Compliance role;
Canadian Securities Course or IFIC Mutual Funds Course or equivalent;
PDO/OPD or Mutual Fund Dealer Compliance Course or Branch Managers Course an asset;
Exceptional communication skills, both verbal and written;
Ability to work independently, under pressure and meet strict deadlines.
Our employees are our best investment and we have much to offer them.
iA Financial Group is the strength of a company with a human side, with its over 8,000 employees. Together, we have earned the trust of our more than four million clients and 25,000 advisors who have chosen us for their insurance, savings, and wealth management.
With over $200 billion in assets and half a billion invested in technological innovation, we’re a key player in the financial services industry in Canada and the United States. The secret to our success? Investing in you, one person at a time. Because, for over 125 years, we have believed that it’s by supporting our employees and surrounding ourselves with the most reputable leaders in the industry, we will continue to innovate.
At iA, we’re invested in you.
Our commitment to Diversity and Inclusion
At iA Financial Group, we support and celebrate diversity. We strive to provide a workplace that is recognized as inclusive for all, regardless of ethnic origin, nationality, language, religious beliefs, gender, sexual orientation, age, marital status, family situation, or physical or mental disability.
Please note that if you need help or assistance to make the recruitment process more accessible for you, please contact us here. Someone from our team will be happy to assist you.