Our current job postings

Compliance Analyst (12-month contract)

  • Employer: iA Financial Group
  • Office: 522 University Avenue
  • Location: Toronto, Ontario
  • Other Possible Location(s): Vancouver, British Columbia; Québec, Quebec; Montreal, Quebec
  • Job category: Compliance Generalist/Multidiscipline
  • Job ID: JR10015278
  • Job type: Temporary Job Full time
  • Apply before: 2022-12-09

Description

Investia / Compliance /Work from home or Hybrid / /Toronto, Montreal, Quebec City, Vancouver/ Start as soon as possible

Please note this is a 12-month Temporary contract.

Do you consider yourself eager, flexible and results focused? Investia needs you to help support its mission!

At Investia, we are the largest independent mutual fund dealer in Canada offering a wide range of products and services associated with the distribution of Mutual funds, Segregated funds, Exempt Market products, Exchange Traded funds and Liquid Alternatives.

Reporting to the Compliance Manager, the Compliance Analyst will be responsible for the administrative operations related to various compliance reports, projects and other compliance duties as needed.  This role entails compliance support to the entire team and offers a vast learning opportunity.  

More specifically:  

  • Assist in preparing and reviewing various trend reports;

  • Assist in Limited Authorization form processing;

  • Assist in ensuring risk control reports/testing is completed;

  • Support teams in the development of process mapping;

  • Monitor trends, communicating findings and assist in implementing corrective actions;

  • Draft or collaborate in the drafting of documents, procedures or management tools;

  • Assist in ensuring that all applicable regulatory policy requirements (CSA/MFDA/AMF/FINTRAC) are met;

  • May oversee the administrative support of various compliance initiatives;

  • May assist in reviewing of all trades in Order Affirmation status;

  • May assist in the advisor approval process to become a paperless office;

  • May provide support in reviewing as per Head office trade supervision requirements as needed;

  • May provide support in reviewing new account openings as needed;

  • May provide support in reviewing KYC updates and approval as needed;

  • May provide support in assisting with Tier 2 Leverage review and approval process;

  • Participating in compliance meetings;

  • Acting as backup coverage, as required;

  • Other duties as assigned;

 What You Will Bring:

  • Minimum of 1 year of experience in a similar administrative support position preferably in the Mutual Fund Industry;

  • Advanced knowledge of Office Suite software (Word, Excel, PowerPoint, Outlook).

  • Completion of the IFSE Canadian Investment Funds Course and Exempt Market Proficiency Course or the CSC Canadian Securities Course (an asset);

  • Completion of the Branch Manager Course and the Partners, Directors and Senior Officers Course (an asset).

  • Be thorough and have a sense of organization;

  • Ability to manage multiple tasks at once;

  • Ability to work and learn quickly in a high-performance environment, under pressure and with short deadlines;

  • Ability to work both independently and in a team;

  • Ability to demonstrate diplomacy, judgment, professionalism and integrity;

  • Motivation, flexibility and adaptability;

  • Excellent interpersonal skills;

  • Fluency in French and English both orally and in writing is an asset

Do you want to join a team-oriented environment with challenge, open communication, growth and more? If so, feel free to submit your application!


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 50,000 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.