Branch Auditor

Branch Compliance Auditor

Location: Anywhere in British Columbia

Start date: As soon as possible

12 month temporary role

Overview

Do you like having great autonomy in your role, and wish to be an effective coach to mutual fund representatives in guiding them through regulatory practices and policies? The compliance audit team is hiring, and we are looking for someone who can help administer the compliance audit program of Investia Financial Services Inc. (“Investia”) while delivering a great client experience to our representatives.

As a Branch Compliance Auditor, you will be responsible for completing branch reviews of registered branch and sub-branch locations across Canada with an emphasis in British Columbia and Alberta.  The role generally requires the individual to act with a very high level of independence in carrying out their regular duties and administering Investia’s branch review program but may be called upon to assist in other Head Office compliance projects.

Job Description

Main responsibilities include:

• Test for compliance with Investia’s policies and procedures and regulatory requirements in accordance with Investia’s branch review program.

• Completing reviews of assigned registered locations, including conducting interviews with Representatives, their supporting staff and with branch staff.

• Ensure adequate training and education is provided to Representatives, their support staff and branch staff with respect to regulatory and Investia policies and procedures.

• Preparing and issuing branch review reports that document identified issues and working with the Representative, their support staff and branch staff, to address the noted deficiencies.

• Maintain regular communication with each branch/sub-branch and all associated Representatives following the review to ensure that all issues raised in the review are adequately addressed to close the review in a timely manner.

• At the request of the region specific Audit Team Leader and/or the Regional Compliance Leader, provide additional analysis in complex cases, identify potential solutions and make appropriate recommendations to resolve compliance issues.

• Other duties as assigned.

 Your career path looks like this:

• At least 3-5 years experience with CIRO registrant audit functions.

• Strong knowledge of the mutual fund industry, current regulatory rules, policies and procedures and industry guidelines as they relate to branch audits and best practices.

• Post secondary degree or diploma in business, finance, economics or other related disciplines.

• Meeting current proficiency requirements for branch manager or officer/partner registration from either the Canadian Securities Institute or IFSE Institute.

• Excellent oral and written communication skills. Fluency in French is considered an asset

• Willingness to travel across British Columbia and Alberta (50% travel expectation)

• Exceptional organizational and time management skills and the ability to work independently.

• Working knowledge of Microsoft Word, Excel, Outlook and Teams.

• Experience and knowledge of Univeris is an asset.