Our current job postings

Director, Compliance

  • Employer: iA Financial Group
  • Office: 2200 McGill College Avenue
  • Location: Montreal, Quebec
  • Other Possible Location(s): Québec, Quebec; Toronto, Ontario
  • Job category: Business Administration, Finance and Accounting
  • Job ID: JR10014641
  • Job type: Permanent Job Full time
  • Apply before: 2022-10-14

Description

Investment Management / Québec / Montréal / Toronto / 100% telework / Desired start date: As soon as possible

Would you like to work directly with the main players in the financial markets? Do you have a keen interest in the world of investments, and would you like to be responsible for the success of major projects while being autonomous? Are you known for your initiative, your professionalism, your high level of ethics and your communication skills? Are you interested in participating in the improvement of processes? Industrial Alliance Investment Management’s (iAIM) Compliance team is seeking such an individual to fill the position of Director, Compliance.

iAIM is the portfolio manager of iA Financial Group. In this capacity, it manages over $100 billion in assets comprised of insurance company general funds, segregated funds, mutual funds, and external client accounts.

The compliance team works with Portfolio Managers and Management to ensure that operations comply with securities legislation, internal policies and procedures, and industry best practices.

Your role will be to actively participate in the implementation of the overall compliance program. More specifically, you will be required to:

  • Support the Chief Compliance Officer in coaching and mobilizing a team of 5 people responsible for the operationalization of the compliance program;
  • Oversee the creation, upgrade, and deployment of various components of the compliance program;
  • Supervise and ensure compliance with the Code of Ethics and all processes aimed at managing conflicts of interest;
  • Oversee and ensure the successful deployment of a technology tool for processing personal transactions;
  • Oversee the process of monitoring the investment guidelines of the various portfolios and disclosing any overruns;
  • Contribute to the realization of compliance projects in collaboration with various teams (portfolio management, trading, and operations) as well as with Management;
  • Ensure the submission of various reports to internal and regulatory authorities;
  • Oversee the development and monitoring of the "soft dollar" directed commission budget;
  • Contribute to the writing and implementation of new policies and procedures;
  • Participate in the preparation of analyses, notes and reports submitted to Management.

Requirements:

  • Bachelor's or Master's degree in finance, economics, law, or other related field
  • At least 8 years of relevant experience;
  • Knowledge of financial products and understanding of the role of the various players in the financial field (broker, portfolio manager, investment fund manager, custodian);
  • Good knowledge of securities regulations and more specifically of investment constraints for mutual funds (81-102) and segregated funds (LD2) and conflicts of interest (31-103);
  • Knowledge of Bloomberg and compliance modules (CMGR, VMGR), an asset;
  • Experience in personnel management, an asset;
  • Excellent English- and French-language skills, both oral and written, due to regular interaction with English and French-speaking colleagues or internal partners across Canada;
  • Proficiency with computer tools and software;
  • CSI courses or other financial courses, an asset;
  • Exceptional attention to detail and analytical skills to ensure accuracy of deliverables prepared;
  • Ability to think strategically and develop a good understanding of business needs;
  • Self-motivated, autonomous, and proactive, with respect to both managing workload and professional development;
  • Strong communication and interpersonal skills; able to interact professionally with all levels;
  • Process-enhancing skills and creativity in the search for innovative solutions;
  • Hands-on team player who is motivated to support the group in meeting deadlines;
  • Strong organizational skills and ability to prioritize work and meet multiple deadlines in a fast-paced team environment.

Are you interested in this challenge? We want to know you better!


At iA, we invest,
in you.

Our employees are our best investment and we have much to offer them.


Company Overview

About

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.