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Sales Compliance Director

1 month ago

Montreal, Quebec, Canada iA Financial Group Full time

About the Role

As a key member of iA Financial Group, you will oversee sales compliance activities to ensure alignment with regulatory requirements and industry standards.

Job Overview

This role is responsible for staying current with regulations that oversee and enforce rules related to sales communications. You will coordinate different activities performed by the team, including email surveillance, social media review, approvals, and addressing potential violations of regulatory requirements.

Main Responsibilities

  • Regulatory Compliance: Understand and apply rules from the Canadian Investment Regulatory Organization, minimize legal risks by enforcing regulations and recommending new procedures.
  • 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.
  • Participate in Special Projects: input and expertise required for sales communication portal, marketing initiatives, etc.

Requirements

  • Bachelor's degree in Finance, Business, or Communications.
  • Minimum 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

We are a key player in the financial services industry in Canada and the United States, driven by innovation and commitment to diversity and inclusion. We strive to provide a workplace recognized as inclusive for all employees, regardless of their background.

Estimated Salary: $120,000 - $150,000 per year