Our current job postings

Compliance officer

  • Employer: iA Private Wealth Inc.
  • Office: 26 Wellington Street East
  • Location: Toronto, Ontario
  • Job category: Compliance Generalist/Multidiscipline
  • Job ID: JR10023260
  • Job type: Permanent Job
  • Apply before: 2025-06-16

Description

Are you an experienced compliance professional with a strong understanding of IIROC regulations?

At iA Financial Group, we are looking for a dedicated Compliance Supervisor – Retail to join our dynamic team. Reporting to the Manager of Compliance – Retail, you’ll play a key role in ensuring regulatory excellence and supporting our advisory network across Canada.

Key responsibilities include:

  • 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 divisions

  • Review Sales Communications for Advisory Network

  • Validation of the qualification of Accredited Investor

Skills you bring to the role:

  • 5+ years of relevant industry experience

  • IIROC Supervisor license and strong knowledge of IIROC policies

  • Familiarity with AML (Anti-Money Laundering) policies and the Canadian securities regulatory framework

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

  • Bilingualism (English/French) is an asset due to frequent interactions with English and French speaking colleagues, internal partners and clients across Canada

  • Strong analytical and organizational skills

What makes iA a great place to work?
At iA, we believe in empowering our people. You’ll benefit from:

  • A collaborative and inclusive work environment

  • Flexible and work/life balance

  • Opportunities for professional growth and development

  • A company culture that values innovation, integrity, and work-life balance

Join a company that’s shaping the future of financial services in Canada. Apply today and grow your career with iA!

Apply now

Invest in your talent by joining our team

See why so many people choose iA!

Company Overview

iA Financial Group is the strength of a company with a human side, with its over 10,000 employees. Together, we have earned the trust of our more than five million clients and 50,000 advisors who have chosen us for their insurance, savings, and wealth management.

With over $235 billion in assets, 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 130 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, write to us. Someone from our team will be happy to assist you.