Compliance Officer

3 months ago

Toronto, Canada iA Groupe financier iA Financial Group Full time

**Purpose of Job**

The Compliance Officer will establish and nurture strong professional relationships with Branch Manager and Portfolio Manager teams, ensuring strict adherence to regulatory and firm compliance standards and serving as a key point of contact and collaboration. It involves meeting daily regulatory obligations. Responding to queries received from our business partners, ensuring effective communication and resolution. Additionally, this role includes actively participating in ad hoc projects.

**Reporting Relationships**

Reports to: Director, Managed Accounts & Tier 2 Supervision

**Key Responsibilities**:

- Reviewing and analyzing daily Tier 2 transactions and non-transaction operations
- Review New Account Documentation Forms for the Managed Program e.g. Investment Policy Statement and Managed Account Agreement
- Advising branch managers when updates are required or documents are missing
- Providing compliance support to Branch Managers & other business divisions
- Reviewing Sales Communications for PM teams
- Participating in various supervision related tasks and assisting the Managed Accounts Supervisor or the Director in ad hoc projects
- Keeping abreast of changes in regulatory requirements and industry updates from relevant regulatory bodies to ensure that the organization is consistently compliant
- Fostering a culture of compliance within the organization, working closely with internal teams to promote awareness and understanding of compliance standards for retail accounts
- Providing training and on-going assistance to new hired Compliance Officers

**Education/Work Experience/Designations**
- 2-3 years or more directly relevant investment industry experience with a CIRO member firm, preferably within a compliance related role
- The Canadian Securities Course, Conduct & Practices Handbook Course, Investment Dealer Supervisor Course & Knowledge of the securities industry (an asset)
- Licensed CIRO Supervisor
- Knowledge of CIRO Rules
- Knowledge of AML (Anti-Money Laundering) Rules
- Analytical skills
- Organization and prioritization skills
- Proficient in MS Office (Outlook, Word, Access, Excel, PowerPoint)
- Bilingual (English/French) strongly preferred

**EDUCATION AND ACCREDITATIONS**
- College diploma (DEC in Quebec) or University degree/ 5 or more years relevant industry experience

**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 Officer

    3 months ago

    Toronto, Canada Questrade Financial Group Full time

    Questrade 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...

  • Compliance Officer

    4 days ago

    Toronto, Ontario, Canada Starlight Investments Full time

    Starlight Investments is seeking a Compliance Officer to execute compliance activities across the organization. The successful candidate will be responsible for executing compliance activities, reporting to the VP of Risk Advisory and Compliance. The Compliance Officer will work closely with the VP to ensure compliance with regulatory requirements and...

  • Compliance Officer

    4 days ago

    Toronto, Ontario, Canada Starlight Investments Full time

    Starlight Investments is seeking a Compliance Officer to execute compliance activities across the organization. The successful candidate will be responsible for executing compliance activities, reporting to the VP of Risk Advisory and Compliance. The Compliance Officer will work closely with the VP to ensure compliance with regulatory requirements and...

  • Compliance Officer

    4 months ago

    Toronto, Canada Campus Support Full time

    We are happy to say that we are looking for an experienced **Compliance Office to join our team at Campus Support - Toronto GTA, Ontario** **Reporting to**: Regional Compliance/Finance Manager **Hours**: 40 hours a week, 9am-5pm EST **Address**:Toronto GTA Campuses **Preference**:Experience with Post Secondary Private or Public Education Institution...

  • Compliance Officer

    23 hours ago

    Toronto, Ontario, Canada destinationone Consulting Full time

    {"h1": "Compliance Officer Role at Destinationone Consulting", "p": "At destinationone Consulting, we are seeking a highly skilled Compliance Officer to join our team. As a Compliance Officer, you will play a critical role in ensuring that our company and its employees comply with internal policies and external regulations. Your expertise will be...

  • Compliance Officer

    19 hours ago

    Toronto, Ontario, Canada destinationone Consulting Full time

    {"h1": "Compliance Officer Role at Destinationone Consulting", "p": "At destinationone Consulting, we are seeking a highly skilled Compliance Officer to join our team. As a Compliance Officer, you will play a critical role in ensuring that our company and its employees comply with internal policies and external regulations. Your expertise will be...

  • Compliance Officer

    4 months ago

    Toronto, Canada Independent Trading Group (ITG) Inc. Full time

    **Position Title**: Compliance Officer **Location**: Toronto **Status**:Permanent, Full-time **Position Overview**: As a Compliance Officer in the capital markets industry, your primary responsibility will be to assist and support the compliance team in ensuring that the organization operates within the legal and regulatory frameworks. You will play a...

  • Compliance Officer

    4 months ago

    Toronto, Canada CIRO OCRI Full time

    **Position Title: Compliance Officer** **Department: Compliance** **Region: Toronto** **Status: Permanent Full-time (Hybrid)** CIRO is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada’s debt and equity marketplaces. CIRO is carrying on the regulatory functions of the...

  • Compliance Officer

    3 months ago

    Toronto, Canada CIRO Full time

    **Position Title: Compliance Officer (MFD)** **Department: Business Conduct Compliance** **Region: Toronto** **Status: Permanent Full-time (Hybrid)** CIRO is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada’s debt and equity marketplaces. CIRO is carrying on the...

  • Compliance Officer

    3 days ago

    Toronto, Ontario, Canada IA Financial Group Full time

    Job SummaryWe are seeking a highly skilled Corporate Compliance Manager to join our team at iA Financial Group. As a key member of our compliance team, you will be responsible for ensuring that our company's policies and procedures are maintained at each office, reviewing and approving new account openings, and providing supervision of trades and advice...

  • Compliance Officer

    4 days ago

    Toronto, Ontario, Canada IA Financial Group Full time

    Job SummaryWe are seeking a highly skilled Corporate Compliance Manager to join our team at iA Financial Group. As a key member of our compliance team, you will be responsible for ensuring that our company's policies and procedures are maintained at each office, reviewing and approving new account openings, and providing supervision of trades and advice...

  • Compliance Officer

    4 months ago

    Toronto, Canada Institut Trebas Institute Full time

    **Job Summary** Trebas Institute, established in 1979, is a private vocational school with campuses in Montreal and Toronto and offering a broad range of programs in audio, film and television, business and technology as well as music, event and entertainment management. Our mission is to provide high-quality and accessible education and support services to...

  • Compliance Officer

    4 months ago

    Toronto, Canada PayAlly Full time

    **About us** PayAlly provides exceptional financial services for businesses with global ambitions. We offer a fully integrated suite of financial services solutions tailor-made for our clients. Since our inception in 2017, we have moved billions of dollars and have simplified complex finance processes. Job Title: Compliance Officer Key...

  • Compliance Officer

    1 week ago

    Toronto, Ontario, Canada CB Canada Full time

    {"Compliance Analyst/Officer": {"Job Description": "Job Title: Compliance Analyst/OfficerCB Canada is seeking a highly skilled Compliance Analyst/Officer to join our team in Toronto, ON.The successful candidate will be responsible for providing guidance and oversight on regulatory requirements and controls, as well as supporting the development and...

  • Compliance Officer

    1 week ago

    Toronto, Ontario, Canada CB Canada Full time

    {"Compliance Analyst/Officer": {"Job Description": "Job Title: Compliance Analyst/OfficerCB Canada is seeking a highly skilled Compliance Analyst/Officer to join our team in Toronto, ON.The successful candidate will be responsible for providing guidance and oversight on regulatory requirements and controls, as well as supporting the development and...

  • Compliance Officer

    4 days ago

    Toronto, Ontario, Canada Bank of Montreal Full time

    Job SummaryWe are seeking a highly skilled Compliance Officer to join our team at the Bank of Montreal. As a key member of our compliance team, you will be responsible for executing first-line compliance monitoring, reporting, and control execution.Key ResponsibilitiesManage and support large and complex compliance programs, frameworks, and projects to...

  • Compliance Officer

    4 days ago

    Toronto, Ontario, Canada Bank of Montreal Full time

    Job SummaryWe are seeking a highly skilled Compliance Officer to join our team at the Bank of Montreal. As a key member of our compliance team, you will be responsible for executing first-line compliance monitoring, reporting, and control execution.Key ResponsibilitiesManage and support large and complex compliance programs, frameworks, and projects to...

  • Compliance Officer

    2 weeks ago

    Toronto, Ontario, Canada beBee Professionals Full time

    Job Title:Compliance OfficerCompany:beBee ProfessionalsLocation:Toronto, ONJob Description:beBee Professionals is seeking an experienced Compliance Officer to ensure the company's adherence to relevant laws and regulations. The successful candidate will be responsible for monitoring and reviewing existing policies and procedures, developing new ones, and...

  • Compliance Officer

    2 weeks ago

    Toronto, Ontario, Canada beBee Professionals Full time

    Job Title:Compliance OfficerCompany:beBee ProfessionalsLocation:Toronto, ONJob Description:beBee Professionals is seeking an experienced Compliance Officer to ensure the company's adherence to relevant laws and regulations. The successful candidate will be responsible for monitoring and reviewing existing policies and procedures, developing new ones, and...

  • Compliance Officer

    2 weeks ago

    Toronto, Ontario, Canada BMO Full time

    Job SummaryBMO is seeking a highly skilled Compliance Officer to join its Control Room team. As a Compliance Officer, you will play a critical role in ensuring the firm's compliance with regulatory requirements and maintaining a strong control environment.Key ResponsibilitiesCompliance Program Execution and MonitoringCoordinate coverage over multiple...