Director, Compliance Tier 2 Supervision
- Employer: iA Private Wealth Inc.
- Office: 1981 McGill College Avenue
- Location: Montreal, Quebec
- Other Possible Location(s): Toronto, Ontario
- Job category: Retail Banking Regional and Branch Management - Generalist/Multidiscipline
- Job ID: JR10026636
- Job type: Permanent Job
- Apply before: 2026-06-08
Description
Director, Compliance Tier 2 Supervision
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Build the future with us
The Director Compliance, Tier 2 Supervision will oversee Managed Program, and Capital Markets.
This position reports to the Chief Compliance Officer and Vice-President iA Private Wealth (CCO) who is responsible for all compliance and risk strategies, policies, and processes for all of iA Private Wealth.
The Director Compliance will support the CCO in carrying out its functions and ensuring the compliance system satisfies complex regulatory requirements in a dynamic environment where new risks are continually presented. As a Director and leader, this person will also play a strategic role in challenging and helping the CCO to continuously improve the compliance program at iA Private Wealth and develop solid relationships with the business and its agents. This role will also act as an experienced resource for employees and agents to help ensure compliance with applicable securities requirements and internal policies and procedures.
The Director Compliance will oversee all aspects of the tier 2 supervision program (including trade conduct compliance), managed program, and capital market compliance. In addition, he or she will help with product oversight
What you’ll accomplish with us
As a Director Compliance , you’ll be at the core of our mission. Here are the main responsibilities:
Lead, guide, and develop a team of 25 professionals located across Canada (mainly in Montreal and Toronto) and assure its performance in alignment with the iAPW values
Attract, retain and foster the professional development of top talent
Challenge the statu quo and improve and maintain the tier 2 supervision program (including trade conduct compliance), managed program, and capital market compliance program to ensure an effective compliance oversight function
Identify and implement opportunities to enhance risk management, productivity and operational efficiency, particularly in the area of process automation and work simplification
Stay abreast of changes in the regulatory framework to stay competitive and to improve our processes accordingly
Implement and present to the CCO key performance indicators, reports on product oversight, and reports on trading supervision and trends
Advise employees and advisors on iAPW policies and regulatory matters and identify training needs of team members to improve knowledge of the industry
Forecast trends and provide guidance to internal partners to support the implementation of appropriate changes
Participate and contribute to compliance and business initiatives aimed at developing new products and services and new processes to create efficiencies and support the business in its client and advisor experience initiatives
Work with cross-functional groups on ongoing changes to compliance requirements and risks reporting
Develop relationships with business partners and advisors to continue to improve collaboration and implement a strong compliance culture
Work with iA Affiliate Compliance teams to ensure a uniform standard of compliance that leverages the strengths and expertise of the wealth management group of companies
Attend relevant industry events and forums to keep abreast of the evolving regulatory environment and various industry initiatives and issues
Build a network of industry contacts to gather competitive intelligence and best practices
Perform other responsibilities prescribed by the CCO
What could accelerate your success in this role
We’re looking for someone who:
• Has at least 15 years of experience in the financial industry and 5 years of experience in a people management position
• Has a bachelor's degree in the financial industry field, preferably in law
· Is known for their Ability to prioritize and execute multiple initiatives, projects and tasks with effective leadership
· Stands out for their interpersonal and communication skills and has excellent organizational and analytical skills
· Demonstrates strongknowledge of securities industry rules and regulations and financial products and services
· Is recognized for their Strong judgment, analytical and strategical thinking skills and high degree of ethical integrity
· Has the following certification : Completion of the Canadian Securities Course (CSC), Conduct and Practices Handbook (CPH), and Branch Managers Course and/or Canadian Investment Regulatory Exam (CIRE) and Retail Securities Exam, Supervisor Exam
· Can travel to Montreal and Toronto on a monthly basis
· Must have an advanced level of English and French proficiency, as the role involves communicating with business partners and clients accross the country on a daily basis
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Why you’ll love working with us
· A work environment where learning and development merge with a collective pursuit of excellence;
· A healthy, safe, fair, and inclusive environment where potential can be freely expressed and developed;
· The opportunity to work in a hybrid environment, supported by flexibility and access to inspiring and innovative workspaces;
· Competitive benefits: Flexible group insurance, competitive pension plan, stock purchase plan, vacation and wellness/personal development days, telemedicine, employee and family assistance program, ergonomic furniture program, performance bonus, discounts on iA products, and much more!
Apply now and get ahead of your career, where your talent really belongs!
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Still unsure about applying?
At iA, we believe in potential and value diverse experiences. If this role inspires you, go ahead and apply – your place might be with us, and we want to get to know you!
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The typical hiring range for this position is between 165000 and 180 000CAD + bonus per year; the base salary offered may vary depending on knowledge, skills, years of experience, and internal equity related to the role. At iA, we are committed to offering a fair, equitable, and market-based compensation structure. Our market data is updated annually to reflect the most current market conditions.
Get ahead of your career, where your talent belongs
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.