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Compliance Director

2 months ago

Montreal, Quebec, Canada iA Financial Group Full time
Job Title: Associate Director, Sales

At iA Financial Group, we are seeking a highly skilled and experienced Associate Director, Sales to join our team. This role will oversee the firm's compliance with rules and regulations related to sales and marketing communications.

Key Responsibilities:
  • Ensure all communications align with regulatory requirements and are fair, balanced, and not misleading.
  • Work closely with partners across iA Private Wealth Compliance team, Senior Management, the Legal Department, regulatory contacts, and other external stakeholders.
  • Provide support to the Director, Business Conduct and Tier 1 Supervision on matters concerning adhering to legal and industry-specific guidelines when communicating information about products or services to the public.
  • Recommend and implement necessary changes and improvements related to sales compliance activities, processes, and platforms.
  • Be responsible for all HR-related matters, including coaching, performance management, establishing goals and objectives for a team of professional-level employees.
Requirements:
  • Bachelor's degree in Finance, Business, or Communications.
  • Minimum of 5 years of experience in a management role.
  • 10 years of relevant experience in Compliance, Communications, or Sales Practices.
  • Excellent knowledge of French and English, both oral and written, due to frequent interactions with internal colleagues and Francophone and Anglophone partners across Canada.
  • Excellent communication and interpersonal skills.
  • Advanced computer skills in the MS Office Suite (Microsoft Word, Excel, Project, PowerPoint).
About iA Financial Group:

iA Financial Group is a leading financial services company in Canada and the United States. With over $200 billion in assets and half a billion invested in technological innovation, we're a key player in the financial services industry. Our commitment to Diversity and Inclusion is at the heart of our values, and we strive to provide a workplace that is recognized as inclusive for all.