Compliance Manager

1 day ago

Quebec, Canada iA Financial Group Full time
h3>Vice-President and Chief Compliance Officer (CCO)
  • Other Possible Location(s): Toronto, Ontario; Montreal, Quebec

As Vice-President and Chief Compliance Officer, you will be responsible for the evolution of the organization’s compliance and regulatory risk management strategy to maintain a culture of compliance throughout the organization.

Reporting to the Executive Vice-President and Chief Risk Officer (CRO), the Chief Compliance Officer (CCO) of iA Financial Group holds a leadership role in compliance across the entire group. This position requires high credibility and the ability to influence board members and/or their committees, executive committee members, business line leaders, and other stakeholders, such as the internal audit function, regulators, external rating agencies, and other second-line-of-defence actors. Additionally, the role demands technical expertise in risk management and regulatory compliance due to the complexity of the issues involved.

The CCO also holds the roles of Chief Anti-Money Laundering Officer (CAMLO) and the Chief Privacy Officer (CPO).

Working with your team of professionals and subsidiary and business line chief compliance officers, you ensure that the compliance management framework, policies and programs are implemented and adhered to throughout iA Financial Group’s business lines and subsidiaries.

Key Responsibilities

- Overseeing iA Financial Group’s regulatory compliance programs to ensure that practices, procedures, norms and standards across the organization comply with laws, regulations and guidelines of the Autorité des marchés financiers (AMF) and other regulatory authorities, thereby supporting business activities across all iA Financial Group business segments;

- Implementing compliance frameworks and practices throughout iA Financial Group and driving their evolution to ensure sound compliance management in accordance with regulations;

- Creating and maintaining the corporate policies of the regulatory compliance governance framework, including communication with and training of iA employees in relation to those corporate policies;

- Developing standards, guidelines and procedures, as well as executing processes to ensure that the organization's regulatory compliance programs are efficient and effective in identifying and preventing regulatory risks, including the compensatory measures required to mitigate non-compliance risks;

- Monitoring the effectiveness of regulatory compliance programs across iA Financial Group;

- Conducting a self-assessment periodically, and at minimum annually, of iA Financial Group’s regulatory compliance program and presenting recommendations of changes needed to ensure its ongoing effectiveness.

- Providing support and advice in any investigation of legal or regulatory exceptions or deviations;

- Ensuring that legislative and regulatory monitoring is carried out and developing an annual oversight and awareness program to ensure that all iA Financial Group business lines operate in accordance with the compliance framework;

- Reporting on iA Financial Group’s compliance status to senior management and board committees; Acting as liaison with regulatory authorities on matters related to regulatory compliance; Taking a leadership role in behaviours that reflect the company’s compliance culture.

As a leader, you will also be responsible for:

- Providing executive leadership to your team members, iA Financial Group’s business line chief compliance officers and vice-presidents by implementing initiatives and processes aimed at fostering and strengthening a culture of compliance, integrity, ethical behaviour and accountability within iA Financial Group;

- Ensuring the development of professionals and managers in your business line by acting as a mentor and supporting their professional growth.

Qualifications

  • Minimum of 10 years of relevant experience in the financial sector and in a regulated financial institution, including a minimum of 6 years as a department head and/or in middle or senior management.
  • Bachelor of Laws (LL.li>
  • Master of Business Administration (MBA) – an asset.
  • ACAMS AML certification – an asset.
  • Understanding of and practical experience with the concepts of compliance, risk and controls.
  • Recognized as an inspiring leader with the ability to leverage talent to successfully achieve strategic business objectives.
  • Strong interpersonal skills with the ability to influence all levels of the organization and build trust with senior management, partners and stakeholders.
  • Strategic mindset, business acumen and problem-solving skills.
  • Strong leadership presence, and comfortable working with executive committee members, board members, regulatory entities and external partners.
  • Advanced level of English and French language skills as the individual acts as the Compliance Leader for all of iA Financial Group for Canada and the United States. In this capacity, he/she communicates with internal and external stakeholders to ensure that practices, procedures, norms and standards across the organization comply with laws, regulations and guidelines of the Autorité des marchés financiers (AMF) and other regulatory authorities, in order to support business activities across all business lines of the organization. Exchanges take place on a daily basis, by telephone, video meeting or e-mail.

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