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Compliance Officer
7 months ago
Domain : Compliance
Work type : Hybrid
Location : Toronto
Start date : December / January
Under the responsibility of the Manager of Compliance - Retail, the incumbent must be a licensed IIROC supervisor and have a good knowledge of IIROC policies and procedures.
Duties related to business conduct include:
**Retail Supervision**
- Reviewing and analyzing daily Tier 2 transactions and non-transaction operations.
- Analyzing and performing a monthly review of account statements
Providing compliance support to Branch Managers & other business divisions.
- Review Sales Communications for Advisory Network.
- Advising branch managers when updates are required or documents are missing.
- Following up on the various requests made by the Compliance Department.
- Validation of the qualification of Accredited Investor.
**Qualifications**
- College diploma (DEC in Quebec) or University degree.
- 5 or more years relevant industry experience.
- The Canadian Securities Course, Conduct & Practices Handbook Course, Investment Dealer Supervisor Course & Knowledge of the securities industry (an asset).
- Licensed IIROC Supervisor.
- Knowledge of IIROC Policies and Procedures.
- Knowledge of AML (Anti-Money Laundering) Policies.
- Basic knowledge of the securities market regulatory framework.
- Analytical skills.
- Organization and prioritization skills.
li-hybrid #li-SD1
**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.