Nos offres d'emploi

Compliance Sales Communications Analyst

  • Employeur : iA Gestion privée de patrimoine inc.
  • Bureau : 522 University Avenue
  • Principal lieu de travail: Toronto, Ontario
  • Domaines d'activité : Communication et marketing
  • Numéro du poste : JR10014291
  • Type d'emploi : Emploi permanent Temps plein
  • Postulez avant le : 2022-08-26

Description

Position Overview

Do you want to work for an established and growing Canadian company in our Quebec City, Montreal or Toronto offices, or in one of the service points in our extensive Canada-wide network?

iA Private Wealth (iA
PW) is a brokerage firm which offers equities, bonds and pooled investment funds to institutional and retail clients. Our network of investment advisors supports and guides clients in their investment decisions. We also offer securities trading consulting and research services with respect to capital markets and institutional financing.

A member of iA Financial Group, iAS is led by an experienced team, driven by a desire to serve our clients with professionalism while conducting business in accordance with the highest industry standards.


Reporting to the Manager, Head of Marketing, the Sales Communications Analyst is primarily responsible for supporting advisors in order to provide reasonable assurance that:

  • The firm, its employees and contracted advisors comply with applicable securities regulatory requirements & internal policies and procedures;

  • The risk of reputational damage, regulatory sanction and discipline, client complaints and civil litigation is minimized;

  • Actual and potential compliance violations & risk situations are pro-actively identified, investigated & resolved or escalated in an appropriate manner;

  • The firm’s employees and contracted advisors receive high quality, accurate and timely compliance direction, advice, support and service and these individuals are educated on their compliance responsibilities & requirements.

Responsibilities:

  • Acts independently, conducts relevant research and arrives at conclusions and/or recommendations based on the exercise of good judgement on moderately complex issues.

  • Pro-actively identifies actual and potential violations of regulatory requirements, internal policies & procedures or other risk situations.

  • Compliance review procedures are conducted in a high quality, risk based manner and appropriate follow-up actions are taken. Communications to advisors are conducted in a timely and professional manner plus provide direction on the appropriate corrective action.

  • Complete records are maintained for future examination by the Regulators and Internal Audit. Where required, forwarding a copy to the Marketing department for production and delivery.

  • Participates in special projects requiring input and expertise, such as Compliance Manual reviews/updates.

  • Maintains a high level of awareness of compliance related changes and developments in the securities industry through the review of publications, participation in industry associations, employee development initiatives, etc.

  • Completes other duties and projects as may be assigned from time to time including, but not limited to acting as back-up to colleagues.

Qualifications

  • Thorough knowledge and understanding of the firm’s compliance policies & procedures and the practical application of relevant provincial securities and SRO (IIROC, Exchanges) rules and regulations and other applicable regulatory requirements.

  • Good understanding of the firm’s business practices, organizational structure and general policies & procedures.

  • Strong written and verbal business communication skills.

  • Good knowledge of software applications (including Word, Excel and Power Point), the internet and social media.

  • Strong analytical skills and a keen eye for detail.

  • Capable of simultaneously handling multiple tasks and meeting stringent deadlines.

  • Able to recognize and handle sensitive and confidential information.

  • Self-motivated, confident and capable of working both independently and in a team environment.

  • Superior planning, organizational and time-management skills.

  • Bilingualism in French and English is a strong asset.

  • College diploma or University degree

  • As a minimum, (working towards) successful completion of the CSC, Completion of the Conduct and Practices Course within 6 months of hire and completion of Branch Managers Course within 1 year of hire if not already passed; 1 or more years working in the financial services industry, preferably in a similar role


Chez iA, on s’investit, pour vous.

Nos employés sont notre meilleur investissement et nous avons beaucoup à leur offrir.


Profil de l'organisation

À propos

iA Groupe financier, c’est la force d’une société de taille à dimension humaine qui compte plus de 8 000 employés. Ensemble, nous avons gagné la confiance de plus de 4 millions de clients et 25 000 représentants qui nous ont choisis pour leurs assurances, leur épargne et la gestion de leur patrimoine.

Avec plus de 200 milliards de dollars d’actifs et un demi-milliard de dollars de prévu en investissement pour l’innovation technologique, nous sommes un joueur clé dans le domaine des services financiers au Canada et aux États-Unis. Le secret de notre réussite? S’investir, une personne à la fois. Parce que depuis plus de 125 ans, nous croyons que c’est en soutenant chacun de nos employés et en nous entourant de leaders parmi les plus réputés de l’industrie que nous pouvons continuer d’innover.

Chez iA, on s’investit, pour vous.

Notre engagement en matière de diversité et d’inclusion

Chez iA Groupe financier, nous appuyons et nous célébrons la diversité. Nous nous efforçons de fournir un milieu de travail reconnu comme inclusif pour tous, sans égard à l’origine ethnique, à la nationalité, à la langue, aux croyances religieuses, au genre, à l’orientation sexuelle, à l’âge, à l'état matrimonial, à la situation familiale ou à un handicap physique ou mental.

Notez que si vous avez besoin d’aide ou d’assistance pour rendre le processus de recrutement plus accessible pour vous, veuillez Nous joindre ici. Une personne de notre équipe se fera un plaisir de répondre à vos besoins.