Our current job postings

Compliance Officer (Retail)

  • Employer: iA Private Wealth Inc.
  • Office: 522 University Avenue
  • Location: Toronto, Ontario
  • Job category: Compliance Generalist/Multidiscipline
  • Job ID: JR10014691
  • Job type: Permanent Job Full time
  • Apply before: 2022-10-07

Description

Under the responsibility of the Manager of Compliance - Retail, the incumbent must be a licensed IIROC supervisor and have a good knowledge of IIROC policies and procedures.
Duties related to business conduct include:

 

Retail Supervision

  • Reviewing and analyzing daily Tier 2 transactions and non-transaction operations

  • Analyzing and performing a monthly review of account statements

  • Advising branch managers when updates are required or documents are missing

  • Following up on the various requests made by the Compliance Department

  • Providing compliance support to Branch Managers & other business division

  • Review Sales Communications for Advisory Network

  • Validation of the qualification of Accredited Investor

Qualifications

  • College diploma (DEC in Quebec) or University degree 

  • 5 or more years relevant industry experience

  • Licensed IIROC Supervisor

  • The Canadian Securities Course, Conduct & Practices Handbook Course, Branch Manager Course & Knowledge of the securities industry (an asset)

  • Knowledge of IIROC Policies and Procedures

  • Knowledge of AML (Anti-Money Laundering) Policies

  • Basic knowledge of the securities market regulatory framework

  • Analytical skills

  • Organization and prioritization skills

  • Bilingualism (an asset)

  • Can be done 100% remotely


** Important – Please submit your application in English for consideration**


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.