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Sales Communication Compliance Lead

3 months ago

Montreal, Quebec, Canada iA Private Wealth Inc. Full time

About iA Private Wealth Inc.

iA Private Wealth Inc. is a leading provider of wealth management solutions, dedicated to helping individuals and families achieve their financial goals. We are committed to delivering exceptional client service and building long-term relationships based on trust and integrity.

Associate Director, Sales Communication

We are seeking a highly motivated and experienced Associate Director, Sales Communication to join our growing team. In this role, you will play a critical part in ensuring that all sales and marketing communications adhere to regulatory requirements and industry best practices.

Key Responsibilities:
  • Review and Approve Marketing Materials: Conduct thorough reviews of marketing materials to ensure compliance with relevant regulations and guidelines.
  • Support on Sales-Related Complaints: Provide expert guidance and support in addressing sales-related complaints, ensuring that our practices align with regulatory standards.
  • Regulatory Compliance: Maintain a deep understanding of current and evolving regulations governing the financial services industry. Stay abreast of changes and implement necessary updates to our compliance framework.
  • Adherence to Updated Rules: Proactively identify potential risks and implement measures to mitigate legal and regulatory exposure.
  • Establish Compliance Standards: Develop and refine compliance standards, policies, and procedures to ensure a robust and effective control environment.
  • Team Leadership: Provide guidance, coaching, and mentorship to a team of professionals, fostering a culture of excellence and continuous improvement.
Qualifications:
  • Bachelor's degree in Finance, Business Administration, or Communications.
  • Recent (non-expired) course completions of the Canadian Securities Course (CSC), Conduct and Practices Handbook (CPH), and Branch Managers Course.
  • Minimum of 5 years of experience in a management role within the financial services industry.
  • 10+ years of relevant experience in Compliance, Communications, or Sales Practices.
  • Advanced knowledge of English and French due to daily interactions with clients and leadership, as well as written correspondence in both languages.
  • Excellent communication, interpersonal, and presentation skills.
  • Strong analytical and problem-solving abilities.
  • Ability to handle sensitive and confidential information with discretion.
  • Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint).