Compliance Director
4 weeks ago
About the Role:
iA Private Wealth Inc. is seeking a highly skilled Associate Director, Sales Communication to join our team. As a key member of our Compliance team, you will be responsible for ensuring that all sales and marketing communications align with regulatory requirements and are fair, balanced, and not misleading.
Key Responsibilities:
- Regulatory Compliance: Stay up-to-date with regulations that oversee and enforce rules, and ensure that all communications comply with regulatory standards.
- Marketing Materials Review: Review and approve all marketing materials to ensure they meet regulatory requirements.
- Sales-Related Complaints: Provide support on sales-related complaints and help resolve issues to ensure that the firm's practices are in line with regulatory standards.
- Compliance Standards: Establish and maintain compliance standards, and design improvements to minimize legal risks.
- Team Leadership: Oversee the day-to-day execution of work activities, provide support where possible, and promote continuous learning and knowledge management.
- Special Projects: Participate in special projects requiring input and expertise, such as the Sales Communication Portal and marketing initiatives.
Qualifications:
- Bachelor's degree in Finance, Business, or Communications.
- Recent course completions of the Canadian Securities Course (CSC), the Conduct and Practices Handbook (CPH), and the Branch Managers Course.
- Minimum of 5 years of experience in a management role.
- 10 years of relevant experience in Compliance, Communications, or Sales Practices.
- Advanced knowledge of English and French, with excellent communication and interpersonal skills.
- Strong analytical and problem-solving skills, with the ability to recognize and handle sensitive and confidential information.
About iA Private Wealth Inc.:
iA Private Wealth Inc. is a leading financial services company that provides a wide range of investment and insurance products to individuals and institutions. We are committed to delivering exceptional service and building long-term relationships with our clients.
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