Compliance Director

3 weeks ago

Montreal, Quebec, Canada iA Private Wealth Inc. Full time
Job Title: Associate Director, Sales Communication

About the Role:

iA Private Wealth Inc. is seeking a highly skilled Associate Director, Sales Communication to oversee the firm's compliance with rules and regulations related to sales and marketing communications.

Key Responsibilities:

  • Regulatory Compliance: Stay current with regulations that oversee and enforce rules, understand and apply rules from the Canadian Investment Regulatory Organization, and coordinate different activities performed by the team.
  • Review and Approve Marketing Materials: Review and approve all marketing materials to ensure they comply with regulatory requirements.
  • Support on Sales Related Complaints: Provide support on sales-related complaints, help resolve issues, and ensure that the firm's practices are in line with regulatory standards.
  • Adherence to Updated Rules: Minimize legal risks by understanding current and proposed legislation, enforcing regulations, recommending new procedures, and complying with regulatory and legal requirements.
  • Establish Compliance Standards and Design Improvements: Adjust department plans and priorities to deal with operational challenges and resources.
  • Oversee Day-to-Day Execution of Work Activities: Provide support where possible through direct or delegated actions.
  • Promote Continuous Learning: Knowledge management and support cross-training initiatives in Compliance Sales Communications team.
  • Guide and Influence Senior Leaders: Grasp their concerns, and objectives, tailor your communication and guidance to align with their priorities.

Qualifications:

  • Bachelor's degree in Finance, Business, or Communications.
  • Recent (non-expired) 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 due to daily conversations and meetings with clients and leadership in addition to daily written correspondence in both languages.
  • Excellent communication and interpersonal skills.
  • Strong analytical and problem-solving skills.
  • Able to recognize and handle sensitive and confidential information.
  • Strong analytical skills and keen eye for detail.
  • Able to handle multiple tasks simultaneously and meet strict deadlines.
  • Ability to take initiative and work independently.
  • Ability to meet deadlines.
  • Advanced computer skills in the MS Office Suite (Microsoft Word, Excel, Project, PowerPoint).
  • Highly analytical with continuous process improvement mindset.

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