Risk Management and Compliance Advisor

7 months ago


Quebec City, Canada iA Groupe financier iA Financial Group Full time

Are you someone who is a Team Player who is proactive and loves to learn? Are you interested in pursuing a career in Compliance and Risk Management? We are looking to hire a Risk Management and Compliance Advisor to join our close-knit team Reporting to the Director of iA-Dealer Services Compliance & Risk Management, you will act as resource and one of the main points of contact for advice and guidance as related to iA-Dealer Services compliance matters.

As the Risk Management and Compliance Advisor, you will oversee iA-Dealer Services' regulatory and operational risk management at a national level, in addition to supporting the Director in managing the risk of its subsidiaries. You will participate in corporate initiatives related to compliance issues and support the implementation of regulatory requirements by negotiating timelines and action plans with stakeholders. Your responsibilities will include monitoring licensing and training, supervising agents, and reviewing line of business practices for compliance with audits. Finally, you will represent the Compliance team in business development meetings.

This position can be based anywhere in Canada and it will be for 12 Month temporary contract.

**What will I be Doing**:
**Risk Management**
- Facilitate and coordinate the implementation of corporate, industry, provincial and federal policies and regulations.
- Liaise with the Regulatory and Operational Risk Management Team and Legal Department, as required.
- Provide guidance to the sectors with periodic process reviews.
- Identify and recommend improvement to processes pertaining to compliance activities.

**Compliance**
- Oversee and monitor licensing and training in conjunction with Sales assistants, Dealer stream and other teams.
- Marketing, Sales, and Administration Support

**Line of Business Practices**
- Identify blind spots, gaps and challenges related to compliance and/or risk management and report them to his/her Director
- Promote the fair treatment of customers throughout the division.
- Monitor the implementation status of audit recommendations.
- Support completion of compliance related projects.

**What are We Looking for?**
- Bachelors Degree
- Minimum of 1 to 3 years in Compliance and Risk Management activities
- 3-5 years of business experience
- Excellent command of French and English (oral and written) for frequent interaction with internal French and English speaking colleagues or partners across Canada
- Strong analytical and problem solving skills
- Ability to work independently and strong organizational skills including attention to details, dates, and deadlines
- Diplomacy in verbal and written communications with internal and external stakeholders
- Ability to detect and resolve compliance related issues

**What Would Be a Nice To Have but not Required?**
- General or life Insurance license
- FLMI designation or willingness to obtain

**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.


  • Compliance Advisor

    6 months ago


    Quebec City, Canada iA Groupe financier iA Financial Group Full time

    Sector: Insurance, Individual Savings and Retirement / Compliance/Law/ Permanent / Telework or Hybrid Are you familiar with individual life insurance and savings operations? Do you want to use your analytical skills, judgement, and advisory services to ensure compliance and risk management in an important business sector? Are you looking for a job with...


  • Quebec City, Canada BFL CANADA Risk and Insurance Full time

    We offer more than a job, we offer a career! We support our employees to shape their career by encouraging continuing education and investing in training and development. We put our employees at the center of what we do to allow them to grow personally and professionally, with projects and challenges that are motivating and rewarding. We inspire people to...


  • Quebec City, Canada belairdirect Full time

    Our employees are at the heart of what we do best: helping people, businesses and society prosper in good times and be resilient in bad times. When you join our team, you’re bringing this purpose to life alongside a passionate community of experts. Feel empowered to learn and grow while being valued for who you are - here, diversity is a strength. You...


  • Quebec City, Canada iA Groupe financier iA Financial Group Full time

    **Responsibilities** - Quarterly review the internal capital model, including the various actuarial and financial sub-models, assumptions, controls and documentation. Automation of certain processes in order to secure and optimize them. - Participate in the enhancement and maintenance of the internal capital model across the Group to ensure adequate level of...


  • Quebec City, Canada MD Financial Management Full time

    Requisition ID: 195546 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. MD Management Limited, a division of Scotia Wealth Management, has an exciting opportunity for a talented, enthusiastic, and client-focused Associate Portfolio Manager to join our team. As an Associate Portfolio Manager, you will...


  • Quebec City, Canada MD Financial Management Full time

    Requisition ID: 195546 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. MD Management Limited, a division of Scotia Wealth Management, has an exciting opportunity for a talented, enthusiastic, and client-focused Associate Portfolio Manager to join our team. As an Associate Portfolio Manager, you will...

  • Compliance Manager

    2 weeks ago


    Quebec, Canada iA Financial Group Full time

    h3>Vice-President and Chief Compliance Officer (CCO)Other Possible Location(s): Toronto, Ontario; Montreal, QuebecAs 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...


  • Quebec City, Canada InnovMetric Software Inc. Full time

    Overview: Do you enjoy giving advice on contract negotiation, compliance, and risk management? Are you a rigorous and organized person who likes to take on stimulating challenges? This career prospect will pique your interest. We are looking for someone who will work closely with the management team, the heads of our global subsidiaries, and the various...


  • Montreal, Quebec, G4F, CA National Bank Full time

    As a Senior Compliance Advisor in the Wealth Management Compliance team at National Bank, you’ll be responsible for establishing and maintaining an adequate oversight framework for wealth management. In this role, you’ll have the opportunity to make a positive impact on our organization through your knowledge of wealth management and investment products....

  • Compliance Analyst

    6 months ago


    Quebec City, Canada iA Groupe financier iA Financial Group Full time

    Compliance/Legal/Insurance/Individual Savings and Retirement sector/Permanent/Telework/_ Quebec/Montreal/Toronto If you are interested in the insurance and financial products and services distribution sector, this is an opportunity you shouldn't miss! The Compliance department that oversees the distribution networks of iA's individual financial products and...


  • Quebec City, Canada iA Groupe financier iA Financial Group Full time

    **PPI company overview**: **PPI (an independent subsidiary of iA Financial)** is an Insurance Marketing Organization that sits between independent advisors and insurance companies. From coast-to-coast, we provide value-added services and support such as digital tools, education, marketing, and processing, to help Advisors elevate and grow their business with...

  • Advisor, Securities

    1 month ago


    Quebec City, Canada Desjardins Full time

    As an investment assistant, you play a hands-on role supporting the advisors by performing all the administrative and operational tasks involved in securities account management. You track client account transactions on a daily basis and resolve various administrative situations. You have to be proactive and think ahead. You have the leadership required to...

  • Advisor, Securities

    4 months ago


    Quebec City, Canada Desjardins Full time

    As an investment assistant, you play a hands-on role supporting the advisors by performing all the administrative and operational tasks involved in securities account management. You track client account transactions on a daily basis and resolve various administrative situations. You have to be proactive and think ahead. You have the leadership required to...


  • Quebec City, Canada BMO Financial Group Full time

    VIRTUAL61 - HomeRes - QC - BMO XXXXX Quebec,X0X 0X0 Supports the business/group leader in the effective implementation, maintenance and administration of first line of defense (1st LOD) programs (e.g., operational risk, AML, compliance, regulatory, etc.), including overseeing business operations within the jurisdiction to ensure adherence and efficiency....


  • Quebec City, Canada Desjardins Full time

    As a wealth management advisor, you’re responsible for developing and maintaining lasting and trusting business relationships with members and clients, to ensure they’re satisfied. Your role is to listen to members’ and clients’ needs, offer them advice that fits their financial situation and help them choose appropriate solutions to meet their...


  • Quebec City, Canada Desjardins Full time

    As a wealth management advisor, you’re responsible for developing and maintaining lasting and trusting business relationships with members and clients, to ensure they’re satisfied. Your role is to listen to members’ and clients’ needs, offer them advice that fits their financial situation and help them choose appropriate solutions to meet their...


  • Quebec City, Canada Intact Full time

    Our employees are at the heart of what we do best: helping people, businesses and society prosper in good times and be resilient in bad times. When you join our team, you’re bringing this purpose to life alongside a passionate community of experts. Feel empowered to learn and grow while being valued for who you are - here, diversity is a strength. You...

  • Compliance Manager

    2 weeks ago


    Quebec, Canada iA Financial Group Full time

    h3>Vice-President and Chief Compliance Officer (CCO)Other Possible Location(s): Toronto, Ontario; Montreal, QuebecAs 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...

  • Investment Consultant

    7 months ago


    Quebec City, Canada MD Financial Management Full time

    Requisition ID: 159433 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. Summary: Reporting to the Regional Manager, as a Investment Consultant, you will assist MD clients and their families in achieving their personal financial goals. Working as a partner with MD’s Specialist Advisors, you will...


  • Quebec City, Canada MD Financial Management Full time

    Requisition ID: 206811 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. Contributes to the overall success of the Client Administrative Services Regional team, ensuring specific individual goals, plans, initiatives are executed / delivered in support of the team’s business strategies and objectives....