Compliance Officer

Sector: iA Private Wealth

Location: Toronto or Montreal

Language: French & English both written and verbal communication required

Work Environment: Hybrid - In Office on Thursdays

The Compliance Officer will establish and nurture strong professional relationships with Branch Managers and Investment Advisors, ensuring strict adherence to regulatory and firm compliance standards and serving as a key point of contact and collaboration. It involves meeting daily regulatory obligations. Responding to queries received from our business partners, ensuring effective communication and resolution. Additionally, this role includes actively participating in ad hoc projects.

Your Day to Day

• 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

• 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

What You Have

• Advanced knowledge of French due to reviewing and responding to correspondence from internal and external stakeholders on a daily basis.

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

• The Canadian Securities Course, Conduct & Practices Handbook Course, Investment Dealer Supervisor Course & Knowledge of the securities industry (or be willing to obtain these upon hire)

• 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)

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