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Compliance Officer (18 month contract)

  • Employer: iA Private Wealth Inc.
  • Office: 1981 McGill College Avenue
  • Location: Montreal, Quebec
  • Other Possible Location(s): Toronto, Ontario
  • Job category: Compliance Generalist/Multidiscipline
  • Job ID: JR10024080
  • Job type: Temporary Job
  • Apply before: 2025-09-08

Description

Key Responsibilities:

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

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

  • Responding to various email requests made to the Compliance Department

  • Providing compliance support to Branch Managers & other business divisions

  • Reviewing Sales Communications for Advisory Network

  • Validating the qualifications of Accredited Investors

  • Approving Outside Activities for Advisory Network 

  • Participating in various supervision related tasks and ad hoc projects

  • Keeping abreast of changes in regulatory requirements and industry updates from relevant regulatory bodies to ensure that the organization is consistently compliant.

  • Fostering a culture of compliance within the organization, working closely with internal teams to  promote awareness and understanding of compliance standards for retail accounts

  • Providing training and on-going assistance to new hired Compliance Officers

Education/Work Experience/Designations

  • 2-3 years or more directly relevant investment industry experience with a CIRO member firm, preferably within a compliance related role

  • Licensed CIRO Supervisor

  • Knowledge of CIRO Policies and Procedures

  • Knowledge of AML (Anti-Money Laundering) Policies

  • Basic knowledge of the securities market regulatory framework

  • Analytical skills

  • Organization and prioritization skills

  • Proficient in MS Office (Outlook, Word, Access, Excel, PowerPoint)

  • Bilingual (English/French) required

EDUCATION AND ACCREDITATIONS

  •  College diploma (DEC in Quebec) or University degree/ 5 or more years relevant industry experience

  • The Canadian Securities Course, Conduct & Practices Handbook Course, Investment Dealer Supervisor Course & Knowledge of the securities industry (requirement)

Level of knowledge advanced French language as the person will be required to work with investors and advisors in English and French on daily basis.

Apply now

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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.