Trade Conduct Compliance Analyst

7 months ago

Toronto, Canada iA Groupe financier iA Financial Group Full time

Trade Conduct Compliance/Telework or Hybrid /Quebec City, Montreal or Toronto/Permanent/Desired start date: As soon as possible_

Are you passionate about the financial markets and pride yourself on meticulous attention to detail? iA Private Wealth needs you to help support their mission and ensure that trading practices uphold the highest standards of integrity and compliance.

**More precisely, you can expect the following responsibilities**:

- Conduct real time and post trade surveillance of securities and financial instrument transactions executed by multiple trading desks.
- Proactively identify, manage and escalate potential regulatory concerns.
- Support the Trade Conduct Compliance department by maintaining surveillance logs and enhancing the surveillance process’s effectiveness and efficiency.
- Collaborate in the development of tools and surveillance system.
- Engage with traders and members of the Capital Markets division to address regular and ad hoc trade surveillance queries.
- Design, present, and report key performance indicators for the trade surveillance program. Summarize findings for compliance reporting.
- Create, test, and implement new surveillance scenarios.
- Work closely with various business lines and partners to pinpoint potential regulatory risk. Develop and implement controls to manage and mitigate these risks.
- Collaborate cross-functionally on evolving compliance requirement and risk dynamics.

**Your career path looks like this**:

- 2-3 years of relevant experience.
- Bachelor’s degree, preferably with focus in Business, Economics, Accounting, and/or Finance.
- CSC (Canadian Securities Course) or other professional designation is a plus.
- Knowledge of the Canadian securities industry, and IIROC rules.
- Strong problem-solving skills.
- Ability to work well in a team environment.
- Highly organized with good attention to detail and high level of accuracy.
- Advanced knowledge of Excel and proficiency in Word and PowerPoint.
- Excellent analytical skills.
- Demonstrated ability to work in a fast-paced environment and manage multiple tasks.
- Excellent written and verbal communication skills.
- Bilingualism (English-French) would be considered an asset

**Why iA Private Wealth?**
- #LI-ST1 #li-hybrid #li-remote_

**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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