Do you want to work for an established and growing Canadian company in our Quebec City, Montreal, Vancouver, Calgary or Toronto offices, or in one of the service points in our extensive Canada-wide network?
iA Private Wealth (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.
This role requires periodic travel across Canada and if not on the road to perform branch audits, the role is remote/virtual.
Reporting to the Manager of the Branch Audit Team, the Senior Compliance Officer will be responsible to schedule and complete branch audits of registered branch and sub-branch locations across Canada. The role requires the individual to act with a very high level of independence in carrying out their regular duties and administering the Dealer’s branch audit program. They may also be called upon to assist in other Head Office compliance projects. Ability to travel extensively across Canada is required.
• Test for compliance with Dealer policies and procedures and regulatory requirements in accordance with the Dealer’s branch audit program.
• Complete audits 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.
• Preparing and issuing branch review reports that document identified issues and working with the Branch Manager and/or Representative to address the noted deficiencies.
• Offer and maintain regular communication as indicated with Branch Managers, each branch/sub-branch and, all associated Representatives following the branch audit to ensure that all issues raised in the review are addressed to close the audit in a timely manner.
• At the request of the Audit Manager, or Senior Compliance Managers, provide additional analysis in complex cases, identify potential solutions, and make appropriate recommendations to resolve compliance issues.
• Other duties as assigned.
• At least 3-5 years’ experience in a compliance or branch audit function.
• Strong knowledge of the securities industry, current regulatory rules (IIROC (Investment Industry Regulatory Organization of Canada)), policies and procedures and industry guidelines as they relate to branch reviews and best practices.
• Post-secondary degree or diploma in business, finance, economics, or other related discipline.
• Completion of the Canadian Securities Course (CSC), Conduct and Practices Course (CPH) would be a definite asset.
• Excellent oral and written communication skills.
• Willingness to travel across Canada.
• Exceptional organizational and time management skills and the ability to work independently.
• Proactive problem solver who can suggest solutions to potential issues identified.
• Team Player, customer focused, results oriented.
• Working knowledge of Microsoft Word, Excel, and Outlook.
• Experience and knowledge of ISM is an asset.
• Bilingual in French and English would be a definite asset.
About iA Financial Group:
iA Financial Group is 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 firstname.lastname@example.org