![iA Groupe financier iA Financial Group](https://canada.jobradars.com/images/employers/1689017297127804.png)
Compliance Analyst, Complaints
1 week ago
Description
Under the responsibility of the Director, Regulatory Compliance and the direction of the Compliance Officer, Complaints, the incumbent is responsible for investigating and resolving client complaints in both French and English and assisting with internal and regulatory investigations in accordance with regulatory requirements (in particular those established by Self Regulatory Organizations (SROs), including the Canadian Investment Regulatory Organization (CIRO) for iAPW.
Duties include:
Assess, analyze and investigate client complaints as assigned, including:
- Determining issues in client complaints;
- Performing a detailed analysis including a review of advisor submissions, account documentation, file notes and communicating with clients, advisors and other internal departments for further details as required;
- Conducting suitability assessments;
- Performing profit/loss calculations and constructing model portfolios;
- Preparing substantive responses to client complaints based on the analysis and merits of the complaint for the Director, Regulatory Compliance or their designate to review.
- Prepare materials in response to regulatory inquiries, examinations and investigations and assist legal counsel as required in preparing Compliance files for arbitration, SRO disciplinary proceedings or civil litigation.
- Evaluate and make recommendations for the development/enhancement/clarification of policies, practices, procedures, and/or systems changes necessary to support ongoing compliance, including developing and recommending policy and procedure changes based on complaint experience and regulatory events to correct incidents of noncompliance (and prevent their reoccurrence) and weaknesses in policies, practices, procedures, systems and/or training.
- Promote good relations with Provincial/National/SRO Regulators under the direction of the Director, Regulatory Compliance and by: ensuring that any Regulatory reports and correspondence received are dealt with effectively and in a timely manner; and ensuring any queries from Regulators are dealt with promptly and effectively.
Qualifications:
- Bilingualism in English and French is a requirement for the role
- College diploma (DEC in Quebec) or university degree
- 5 years or more of securities industry experience, preferably in a regulatory complaints officer role
- Knowledge of CIRO Policies and Procedures
- Canadian Securities Course and Conduct and Practices Handbook courses are assets
- Understanding of the securities market regulatory framework
- Strong organization and analytical skills
- Strong written and verbal communication skills (English and French)
Company Overview:
About:
iA Financial Group is the strength of a company with a human side, with its over 8,000 employees.
Together, we have earned the trust of our more than four million clients and 50,000 advisors who have chosen us for their insurance, savings, and wealth management.
With over $200 billion in assets and half a billion invested in technological innovation, we're a key player in the financial services industry in Canada and the United States.
Because, for over 125 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, please contact us here.
-
Manager, Compliance and Complaints
1 week ago
Toronto, Ontario, Canada CMRAO Full timeCompany Overview:The Condominium Management Regulatory Authority of Ontario (CMRAO) began operations on November 1, 2017 to provide stronger consumer protection for Ontarians living and investing in condominiums. Through effective regulation, the CMRAO strengthens the condominium management profession and helps to protect consumers in Ontario's complex and...
-
Compliance Analyst
7 days ago
Toronto, Ontario, Canada Insight Global Full timeInsight global is looking for a Compliance Analyst for our major banking clients to play a crucial role in ensuring that an organization adheres to regulatory requirements and internal policies. Compliance analysts review laws and regulations, assessing inbound mutual funds triaging complaints - As per regulations and managing teams. Writing response...
-
Compliance Analyst
1 week ago
Toronto, Ontario, Ontario, Canada Insight Global Full timeInsight global is looking for a Compliance Analyst for our major banking clients to play a crucial role in ensuring that an organization adheres to regulatory requirements and internal policies. Compliance analysts review laws and regulations, assessing inbound mutual funds triaging complaints - As per regulations and managing teams. Writing response...
-
Complaints Analyst
1 week ago
Toronto, Ontario, Canada Tata Consultancy Services Full timeAbout TCSTCS operates on a global scale, with a diverse talent base of more than 600,000 associates representing 153 nationalities across 55 countries. TCS has been recognized as a Global Top Employer by the Top Employers Institute - one of only eight companies worldwide to have achieved this status. Our organizational structure is domain-led and designed to...
-
Compliance Analyst
1 day ago
Toronto, Ontario, Canada Momentum Financial Services Group_new Full timeCompany DescriptionMomentum Financial Services is a leading provider of financial services in North America. For 40 years, we've been committed to providing financial solutions that meet the evolving needs of consumers and business owners. Through our retail network of over 400 locations, known as Moneymart, Insta Cheques and the Cheque Cashing store, we...
-
Senior Compliance Officer, Complaints
7 days ago
Toronto, Ontario, Canada Questrade Financial Group Full timeCompliance Officer, Business Integrity, QuestEnterprise Questrade Financial Group (QFG) of Companies is committed to helping our customers become much more financially successful and secure. At QFG, you will be constantly moving forward, bringing the future of fintech into existence. You will be a part of a collaborative team that cares deeply about our...
-
Intermediate Compliance analyst
1 week ago
Toronto, Ontario, Canada Robertson & Company Ltd. Full time***Please note before applying: We require Mandarin speaking as a MUST-HAVEPosition: Intermediate Compliance AnalystLocation: Markham, Ontario, Canada (Hybrid- 3 days ONSITE)Type: Full time permanentMandarin-speaking candidates required **Upto $70-80K year + BonusOur Client:Our client is an International Bank with Canadian operations across major cities...
-
Intermediate Compliance analyst
2 weeks ago
Toronto, Ontario, Ontario, Canada Robertson & Company Ltd. Full time***Please note before applying: We require Mandarin speaking as a MUST-HAVEPosition: Intermediate Compliance AnalystLocation: Markham, Ontario, Canada (Hybrid- 3 days ONSITE)Type: Full time permanentMandarin-speaking candidates required **Upto $70-80K year + BonusOur Client:Our client is an International Bank with Canadian operations across major cities...
-
Compliance Analyst
1 week ago
Toronto, Ontario, Canada beBee Professionals Full timeJob Title: Compliance AnalystLocation: Toronto, CanadaCompany: beBee ProfessionalsJob Description:We are looking for a Compliance Analyst to join our team at beBee Professionals in Toronto. The Compliance Analyst will be responsible for ensuring that the company is compliant with all applicable laws and regulations. The successful candidate will be expected...
-
Complaints Specialist
1 week ago
Toronto, Ontario, Canada Retirement Homes Regulatory Authority Full timePosition: Specialist, Complaints and Client Services Location: TorontoStatus: Full-time, Permanent Salary: Base salary around $80,000 - commensurate with level of experience The Retirement Homes Regulatory Authority (RHRA) is a self-financing authority independent of government, with the mandate to license and inspect Ontario's more than 780 retirement homes...
-
Compliance Analyst, Monitoring
1 week ago
Toronto, Ontario, Canada S I Systems Full timeIntermediate AML Analyst to conduct compliance investigations and transaction monitoring for a large banking client Our large banking client is looking for an Intermediate AML Analyst to conduct compliance investigations and transaction monitoring. Please note This role is a hybrid working model with 4 days in the office, located downtown Toronto. 3+...
-
Compliance Analyst
1 week ago
Toronto, Ontario, Canada Ontario Teachers' Pension Plan Full timeThe opportunityThe Compliance Department's vision is to be a trusted partner and advisor to help Teachers' business divisions effectively balance risk, regulatory compliance, and related best practices in accordance with Ontario Teachers' risk tolerance and to help build a sustainable culture of compliance.The Compliance Analyst will primarily focus on the...
-
Compliance Analyst
1 week ago
Toronto, Ontario, Canada Amex Full timeYou Lead the Way. We've Got Your Back.With the right backing, people and businesses have the power to progress in incredible ways. When you join Team Amex, you become part of a global and diverse community of colleagues with an unwavering commitment to back our customers, communities and each other. Here, you'll learn and grow as we help you create a career...
-
Compliance Analyst
1 week ago
Toronto, Ontario, Canada Canadian Premier Full timeWho we areAt Canadian Premier, everything we do is driven by our genuine desire to build connections with our customers - listening, reflecting, responding - and being there for them during the most trying times of their lives. To be the best at what we do, we look for compassionate, creative people who work efficiently, aren't afraid to make decisions, and...
-
Inquiries and Complaints Officer
1 week ago
Toronto, Ontario, Canada Bereavement Authority of Ontario Full timeWhat are we looking for?If this sounds like a fit, we want to hear from youResponsibilities Handle and resolve verbal and written complaints made to the BAO. Answer inquiries from consumers and licensees on bereavementrelated topics, including compliance with applicable legislation. Obtain necessary information /updates from other departments for the...
-
Erm Compliance Analyst
1 week ago
Toronto, Ontario, Canada Definity Financial Corporation Full timeJobID :6821Category : Corporate Actuarial & RiskBrand : DefinityRegular/Temporary : RegularFulltime/Parttime : Full TimeLocation : Toronto, CanadaDefinity includes some of Canada's most long-standing and innovative insurance brands, including Economical Insurance, Sonnet Insurance, Family Insurance Solutions, and Petline Insurance. With strong roots that...
-
Compliance - Analyst
1 week ago
Toronto, Ontario, Canada MUFG Full timeCompliance - AnalystJob Summary:The primary responsibility is to assist the Chief Compliance Officer in the activities of compliance and anti-money laundering.Primary Accountabilities:KYC: Conduct screening on Customers and related parties. Be responsible for implementing KYC procedure Prepares and monitors KYC review schedule based on risk level Answers...
-
Financial Compliance Officer
1 week ago
Toronto, Ontario, Canada Bereavement Authority of Ontario Full timeWhat are we looking for?We are looking for a Financial Compliance Officer to provide expert accounting and financial advice in support of compliance issues through the financial analysis of accounting methods and procedures. This role will report directly to the Manager, Financial Compliance. Preference will be given to individuals who have experience as a...
-
Compliance Analyst, Business Integrity
1 week ago
Toronto, Ontario, Canada Questrade Financial Group Full timeQuestrade Financial Group (QFG) of Companies is committed to helping our customers become much more financially successful and secure.We are everything a traditional financial institution is not. At QFG, you will be constantly moving forward, bringing the future of fintech into existence. You will be a part of a collaborative team that cares deeply about our...
-
Analyst, Compliance
1 week ago
Toronto, Ontario, Canada First National Full timeWe are hiring an Analyst, Compliance The Role: This position will play an important role in assisting with the planning and completion of regulatory compliance reviews and the delivery of high quality, professional, and independent compliance testing. The incumbent will contribute to a strong compliance and risk management culture through collaboration...