Compliance Officer

4 days ago

Montreal, Quebec, Canada IA Financial Group Full time

Are you an expert in insurance regulatory compliance seeking a challenging role at IA Financial Group?

We are looking for a highly skilled Senior Compliance Officer to join our team and drive the development of our compliance program.

The successful candidate will be responsible for developing and implementing effective supervision controls relating to the distribution of insurance for our iAWIS subsidiary. This includes ensuring that we maintain rigorous compliance standards and controls across all our insurance activities.

In collaboration with our management team, this individual will drive the development and implementation of innovative compliance processes and strategies for IAWIS. They will also require agile thinking to meet business and operational challenges, while maintaining alignment with our organization's policies and objectives.

This is a specialized role that requires autonomy in making decisions that impact our risk management and adherence to financial services regulations. The successful candidate will have strong analytical, problem-solving, and communication skills, as well as experience in the financial sector, preferably in the distribution of insurance products.

Key Responsibilities:

  • Develop and implement a supervisory framework for insurance distribution offered through iAWIS
  • Write policies and procedures within the compliance department and ensure timely publication
  • Provide training to various departments involved in insurance distribution
  • Communicate regularly with advisors offering insurance services to ensure they adhere to high standards in insurance distribution
  • Audit and create reports on advisors' practices
  • Collaborate with our AGA, PPI, to develop a strong supervisory framework incorporating industry best practices
  • Support PPI in managing client complaints and handle complaints as required, coordinating intervention plans with other compliance/legal departments and PPI
  • Set priorities and objectives for the department with the Senior Director, ensuring delivery of high-quality service in terms of volume and deadlines
  • Ensure compliance with industry regulations, adapting strategies to reflect changing regulatory landscapes and business needs
  • Proactively identify regulatory changes, train departments on changes, and adjust processes accordingly
  • Engage with internal departments, guiding and influencing decisions related to insurance distribution compliance
  • Make informed recommendations based on understanding of the wider business plan and human/operational resources requirements
  • Act as subject matter expert and provide direction
  • Identify and assess potential risks in activities and develop strategies to mitigate them
  • Regularly report to senior management on risk assessments and compliance status

Education/Work Experience/Designations:

  • Years of relevant experience in the financial sector, ideally in insurance product distribution
  • Strong knowledge of the distribution of financial products and services regulatory landscape in Canada
  • Analytical, problem-solving, and communication skills
  • Strong organizational skills
  • Strong judgment and critical thinking skills
  • Certificate in insurance of persons (an asset)
  • Proficient in MS Office (Outlook, Word, Access, Excel, PowerPoint)
  • Advanced knowledge of English and French for daily communication with external stakeholders and advisors by phone or email

Salary: $85,000 - $110,000 per year, depending on experience.

  • Compliance Officer

    4 days ago

    Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full time

    About the Role:Société Générale's Capital Market Surveillance (CMS) team, situated within the Compliance department, is responsible for monitoring security transactions and Firm communications to ensure compliance with relevant policies, industry rules, and regulations.The CMS team consists of two surveillance teams: one focused on monitoring security...

  • Compliance Officer

    2 months ago

    Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full time

    About the JobSociété Générale's Capital Market Surveillance (CMS) team is a global entity within the Compliance department responsible for monitoring security transactions and Firm communications to ensure compliance with applicable policies, industry rules, and regulations.CMS consists of two surveillance teams, one focused on monitoring security...

  • Compliance Officer Specialist

    1 week ago

    Montreal, Quebec, Canada Société Générale Assurances Full time

    Société Générale Assurances is a leading company in the financial industry, seeking an experienced Compliance Officer Specialist to join our team in Montreal, Quebec, Canada.As a Compliance Officer Specialist, you will be responsible for monitoring security transactions and ensuring compliance with applicable policies, industry rules, and regulations....

  • Compliance Monitoring Officer

    3 weeks ago

    Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full time

    About the Role:Société Générale's Capital Market Surveillance team is responsible for monitoring security transactions and Firm communications to ensure compliance with applicable policies, industry rules, and regulations.The US CMS Trade Surveillance team is seeking an additional resource in the Firm's Montreal office to support its monitoring of the...

  • Senior Compliance Officer

    1 week ago

    Montreal, Quebec, Canada Staffing In Motion Full time

    Key ResponsibilitiesAs a Senior Compliance Officer, you will be responsible for the daily implementation of compliance policies and procedures, ensuring that all investment activities align with client investment policies and applicable legislation.You will review and update the Investment Management Department's policies, procedures, and communications and...

  • Regional Ethics and Compliance Officer

    3 weeks ago

    Montreal, Quebec, Canada WSP Full time

    Job DescriptionRegional Ethics and Compliance OfficerWSP Latin Americas and Caribbean (WSP LAC) region seeks a highly skilled Regional Ethics and Compliance Officer to join its team. The successful candidate will manage a regional ethics and compliance team, delivering specialized services including training, policy development, internal investigations,...

  • Compliance Officer Regulatory Compliance Specialist

    1 month ago

    Montreal, Quebec, Canada Zurich 56 Company Ltd Full time

    About the RoleZurich Canada is seeking a highly skilled Compliance Officer to join our team. As a key member of our Compliance team, you will play a critical role in promoting an ethics-based culture and delivering practical solutions to support the business.Key ResponsibilitiesEvaluate business activities to assess compliance risk and identify areas for...

  • Senior Compliance Officer

    4 weeks ago

    Montreal, Quebec, Canada IA Financial Group Full time

    Job SummaryThe Senior Compliance Officer will oversee the firm's compliance with rules and regulations related to sales and marketing communications. This role will ensure that all communications align with regulatory requirements and are fair, balanced, and not misleading.This position requires a strong understanding of regulatory requirements and the...

  • Compliance Officer

    4 weeks ago

    Montreal, Quebec, Canada National Bank Full time

    Key Responsibilities:As a Private Client Compliance Advisor at National Bank, you will play a crucial role in ensuring compliance with internal policies and industry regulatory requirements. Your key responsibilities will include:Providing guidance and support to Private Wealth Advisors and branches on compliance mattersDeveloping and implementing compliance...

  • Compliance Officer

    2 weeks ago

    Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full time

    About SGS Société Générale de Surveillance SAWe are seeking a Compliance Officer - Risk Monitoring to join our team in the Montreal office. In this role, you will be responsible for monitoring security transactions and firm communications to ensure compliance with applicable policies, industry rules, and regulations.Key Responsibilities:Monitor security...

  • Compliance Officer

    2 weeks ago

    Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full time

    About Société Générale's Compliance ProgramThe Compliance Department at Société Générale is responsible for ensuring that our firm adheres to all applicable laws, regulations, and industry standards. As a key member of our team, you will play a vital role in monitoring and analyzing security transactions to ensure compliance with Exchange rules.Key...

  • Regulatory Inventory Compliance Officer

    1 month ago

    Montreal, Quebec, Canada Société Générale Assurances Full time

    Job Title: Regulatory Inventory Compliance OfficerAt Société Générale Assurances, we are seeking a highly skilled Regulatory Inventory Compliance Officer to join our team. As a key member of our Compliance Department, you will play a critical role in ensuring the firm's compliance with laws, regulations, and guidelines.Responsibilities:Maintain and...

  • Compliance Officer

    4 weeks ago

    Montreal, Quebec, Canada National Bank Full time

    A career as a Compliance Officer at National Bank means acting as a key resource for compliance activities associated with our national network to ensure that Private Wealth Advisors and branches respect and comply with internal policies and procedures as well as industry regulatory requirements.Your roleAnalyze and authorize documentation, new accounts, and...

  • Trade Surveillance Compliance Officer

    4 days ago

    Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full time

    Job Summary:Societe Generale de Surveillance SA is seeking a skilled Trade Surveillance Compliance Officer to join our team in Montreal, Canada. The successful candidate will be responsible for monitoring security transactions and firm communications to ensure compliance with applicable policies, industry rules, and regulations.

  • Compliance Officer

    4 days ago

    Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full time

    About the Role:Société Générale's Capital Market Surveillance team is responsible for monitoring security transactions to ensure compliance with industry rules and regulations. We are seeking a Compliance Officer to support our US operations in Montreal. As a key member of our team, you will work closely with regional and global colleagues to mitigate...

  • Health and Environmental Compliance Officer

    4 days ago

    Montreal, Quebec, Canada ADM Full time

    {"Job TitleHealth and Environmental Compliance Officer \/ Occupational Health and Safety ProfessionalJob SummaryWe are seeking a skilled Health and Environmental Compliance Officer to join our team at ADM. As a Health and Environmental Compliance Officer, you will play a critical role in ensuring that our facilities and operations meet the highest standards...

  • Compliance Officer

    2 weeks ago

    Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full time

    About the Role:Societe Generale's Capital Market Surveillance (CMS) is a global team within the Compliance department responsible for monitoring security transactions and Firm communications to ensure compliance with applicable policies, industry rules, and regulations.The CMS team consists of two surveillance teams, one focused on monitoring security...

  • Regulatory Compliance Officer

    1 month ago

    Montreal, Quebec, Canada beBee Professionals Full time

    Job Title: Export Control Compliance OfficerJob Summary: BeBee Professionals is looking for an Export Control Compliance Officer to join our team in Montreal.Key Responsibilities:Ensure the company's compliance with export control laws and regulationsDevelop and implement export control policies and proceduresConduct export control compliance reviews and...

  • Compliance Officer

    4 days ago

    Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full time

    Job DescriptionAbout the Job:SGS Société Générale de Surveillance SA is seeking a talented Compliance Officer - Trade Surveillance to join our team in Montreal. As a key member of our Compliance Department, you will be responsible for monitoring security transactions and ensuring compliance with applicable policies, industry rules, and regulations.Our...

  • Compliance Officer

    1 month ago

    Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full time

    About the RoleSociete Generale's Capital Market Surveillance (CMS) team is seeking a skilled Compliance Officer to join its Montreal office. As a key member of the US CMS Trade Surveillance team, you will play a critical role in monitoring security transactions and Firm communications to ensure compliance with applicable policies, industry rules, and...