Under the responsibility of the Director, Regulatory Compliance and the direction of the Compliance Officer, Complaints, the incumbent is responsible for investigating and resolving client complaints in both French and English and assisting with internal and regulatory investigations in accordance with regulatory requirements (in particular those established by Self Regulatory Organizations (SROs), including the Canadian Investment Regulatory Organization (CIRO) for iAPW.
Assess, analyze and investigate client complaints as assigned, including:
Determining issues in client complaints;
Performing a detailed analysis including a review of advisor submissions, account documentation, file notes and communicating with clients, advisors and other internal departments for further details as required;
Conducting suitability assessments;
Performing profit/loss calculations and constructing model portfolios;
Preparing substantive responses to client complaints based on the analysis and merits of the complaint for the Director, Regulatory Compliance or their designate to review.
Prepare materials in response to regulatory inquiries, examinations and investigations and assist legal counsel as required in preparing Compliance files for arbitration, SRO disciplinary proceedings or civil litigation.
Evaluate and make recommendations for the development/enhancement/clarification of policies, practices, procedures, and/or systems changes necessary to support ongoing compliance, including developing and recommending policy and procedure changes based on complaint experience and regulatory events to correct incidents of noncompliance (and prevent their reoccurrence) and weaknesses in policies, practices, procedures, systems and/or training.
Promote good relations with Provincial/National/SRO Regulators under the direction of the Director, Regulatory Compliance and by: ensuring that any Regulatory reports and correspondence received are dealt with effectively and in a timely manner; and ensuring any queries from Regulators are dealt with promptly and effectively.
Bilingualism in English and French is a requirement for the role
College diploma (DEC in Quebec) or university degree
5 years or more of securities industry experience, preferably in a regulatory complaints officer role
Knowledge of CIRO Policies and Procedures
Canadian Securities Course and Conduct and Practices Handbook courses are assets
Understanding of the securities market regulatory framework
Strong organization and analytical skills
Strong written and verbal communication skills (English and French)
Our employees are our best investment and we have much to offer them.
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.
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