Company Overview Investia Financial Services Inc., a member of iA Financial Group, has been in operation since 1999. This growing and dynamic company offers a wide range of products and services related to the distribution of investment funds and segregated funds in order to meet the savings and retirement needs of its clients. With offices in British Columbia, Alberta, Ontario, Quebec and Nova Scotia, Investia has become a major national player, with more than 13.27 billion dollars in assets under administration. Because of its growth context and the mobility of its structure, Investia can offer its employees development opportunities.
Description Reporting to the Coordinator Branch Audits, the Branch Auditor will be responsible for completing branch reviews of registered branch and sub-branch locations across Canada. The role generally requires the individual to act with a very high level of independence in carrying out their regular duties and administering the Dealer’s branch review program, but may be called upon to assist in other Head Office compliance projects. Ability to travel extensively in Quebec and some travel across Canada is required.
Responsibilities: • 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. • At the request of the Coordinator Branch Review, provide additional analysis in complex cases, identify potential solutions and make appropriate recommendations to resolve compliance issues. • Other duties as assigned.
Qualifications • 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. • Post secondary degree or diploma in business, finance, economics or other related discipline. • 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. • Exceptional organizational and time management skills and the ability to work independently. • 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 asset.
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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.
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