Compliance Specialist, Capital Markets

7 days ago

Canada iA Groupe financier iA Financial Group Full time

The Capital Market Compliance Specialist helps iAPW Capital Market department making sure that distributions follow rigorous compliance standards and implements controls.

The specialist helps the business unit in its projects from a compliance standpoint, making sure the firm's P&P are followed while proposing innovative compliance solutions to securities distribution.


This position involves actively reviewing new product offerings within iAPW Capital Market department, ensuring adherence to regulatory requirements, offering trainings, and assisting in the development and implementation of compliance processes.

The role demands analytical skills, attention to details and the ability to work collaboratively across departments to maintain the organization's commitment to market integrity and regulatory adherence.


The position requires strategic thinking to meet dynamic business and operational challenges, while maintaining alignment with the organization policies' objectives.


This role is highly specialized and requires autonomy in making recommendations that impact the organization's risk management and adherence to financial regulations.


Key Responsibilities:

  • Support iAPW Capital Market in its initiatives related to distribution of new issues and other products.
  • Lead compliance specialist to respond to complex questions from business units relating to capital markets.
  • Ensure compliance with industry regulations, adapting strategies to reflect changing regulatory landscapes and business needs.
  • Foster a culture of continuous learning and professional development within the team and business units by providing periodic trainings.
  • Proactively identify regulatory changes, train the team and business units on the changes, and make sure the processes are adjusted accordingly.
  • Engage with internal departments, guiding and influencing decisions related to capital market compliance.
  • Make informed compliance recommendations based on an understanding of the wider business plan of the firm.
  • Draft internal policies and procedures related to capital market compliance in accordance with applicable laws and regulations.
  • Identify and assess potential risks in capital market origination activities and put in place a strategy to mitigate them with the business units.
  • Regularly report to senior management on risk assessments and compliance status
Education and Accreditations

  • University Degree or a College Diploma preferable in Law, Finance, Economics, Accounting or similar disciplines
  • Proven compliance experience in capital market regulations in Canada
  • At least 8 years directly relevant capital markets experience
  • Comprehensive understanding of equity, fixed income and foreign exchange transaction processes and backoffice systems
  • Exceptional analytical, problem solving, and communication skills
  • Strong judgment and critical thinking skills
  • Strong knowledge of the securities regulatory landscape (CIRO, CSA and AML rules)
  • Proficient in MS Office (Outlook, Word, Access, Excel, PowerPoint)

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.

The secret to our success? Investing in you, one person at a time.

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.

Someone from our team will be happy to assist you.

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