Strategic Compliance Lead

4 weeks ago

Old Toronto, Canada Iaawg Full time
Compliance Oversight and Communication Expert

iA Private Wealth is a leading provider of customized wealth management solutions, with over $48 billion in assets under administration. As a key partner to discerning investors across Canada, we adhere to the most rigorous industry standards.

This role oversees compliance with sales and marketing regulations, ensuring that all communications align with regulatory requirements and are fair, balanced, and not misleading. The successful candidate will work closely with stakeholders across iA Private Wealth's Compliance team, Senior Management, the Legal Department, and external partners.

Main Responsibilities:

  • Marketing Material Review and Approval: Ensure compliance with regulatory requirements for all marketing materials
  • Sales-Related Complaint Support: Provide assistance on sales-related complaints, helping to resolve issues and maintain adherence to regulatory standards
  • Regulatory Compliance: Stay up-to-date with regulations and apply rules from the Canadian Investment Regulatory Organization, coordinating activities such as email surveillance, social media review, and addressing potential violations
  • Adherence to Updated Rules: Minimize legal risks by understanding current legislation, enforcing regulations, and recommending new procedures to comply with regulatory and legal requirements
  • Establish Compliance Standards and Design Improvements: Adjust department plans and priorities to address operational challenges and resource allocation
  • Oversee Day-to-Day Execution of Work Activities and provide support through direct or delegated actions
  • Promote Continuous Learning, knowledge management, and cross-training initiatives within the Compliance Sales Communications team
  • Guide and Influence Senior Leaders: Understand their concerns, objectives, and tailor communication and guidance to align with their priorities
  • Participate in special projects requiring input and expertise (Sales Communication Portal, marketing initiatives)

The ideal candidate will possess a Bachelor's degree in Finance, Business, or Communications, along with recent course completions of the Canadian Securities Course (CSC), the Conduct and Practices Handbook (CPH), and the Branch Managers Course. A minimum of 5 years of experience in a management role and 10 years of relevant experience in Compliance, Communications, or Sales Practices are required. Fluency in English and French is essential due to frequent interactions with clients and stakeholders. Strong analytical and problem-solving skills, excellent communication and interpersonal skills, and ability to handle sensitive information are necessary. Additionally, advanced computer skills in the MS Office Suite (Microsoft Word, Excel, Project, PowerPoint) and a continuous process improvement mindset are highly valued.

Location(s)

Toronto, Ontario

Company

iA Private Wealth Inc.

Estimated Salary Range

$120,000 - $180,000 per year

  • Strategic AML Compliance Lead

    2 weeks ago

    Old Toronto, Canada TD Full time

    About the RoleTD is seeking an experienced Strategic AML Compliance Lead to join its FCRM Advisory Team. As a key member of the team, you will play a crucial role in supporting the Anti-Money Laundering (AML) compliance framework by providing guidance and oversight to the Business' implementation of AML policies and standards.About the TeamThe TD FCRM...

  • Strategic Digital Technology Compliance Lead

    1 hour ago

    Old Toronto, Canada Tangerine Bank Full time

    About the Role">We are seeking a highly skilled Strategic Digital Technology Compliance Lead to join our team.

  • Strategic Compliance Leader

    4 weeks ago

    Old Toronto, Canada Aviso Wealth Inc Full time

    About Aviso Wealth IncAviso Wealth Inc is a leading wealth management and investment services provider for the Canadian financial industry, with over $130 billion in total assets under administration and management.The OpportunityWe're seeking an experienced Strategic Compliance Leader to join our Asset Management team. As a key member of our leadership...

  • Strategic Risk and Compliance Lead

    2 weeks ago

    Old Toronto, Canada HomEquity Bank Full time

    About HomeEquity BankHomeEquity Bank is a leading national provider of reverse mortgages in Canada, backed by industry-leading organizations. We are establishing a new division to launch a technology-first solution into the market.The Director of Risk and Compliance will play a key leadership role in ensuring the successful launch and operation of this new...

  • Strategic Software and Compliance Procurement Lead

    2 weeks ago

    Toronto, Ontario, Canada Teranet Inc. Full time

    Job Overview">We are seeking an experienced Strategic Software and Compliance Procurement Lead to join our team at Teranet Inc.About the Role">The successful candidate will be responsible for overseeing changes to existing agreements, owning/maintaining an appropriate software licensing library, ensuring compliance with software published license agreements...

  • Strategic Treasury Compliance Expert

    1 month ago

    Old Toronto, Canada Scotiabank Full time

    We are seeking an experienced Strategic Treasury Compliance Expert to join our team in Canada. This role is a key part of our Treasury Central Office, responsible for ensuring regulatory compliance and non-financial risk programs are embedded in business-as-usual activities.About the RoleLead the delivery of the Bank's Global Operational Risk Management...

  • Strategic Corporate Counsel Lead

    2 weeks ago

    Old Toronto, Canada Alamos Gold Inc. Full time

    Executive General Counsel Position OverviewWe are seeking a seasoned Strategic Corporate Counsel Lead to join our team at Alamos Gold Inc.About the RoleThis is an exceptional opportunity for a highly skilled and experienced lawyer to lead our legal and compliance functions, driving business success while upholding the highest standards of corporate...

  • Lead Cybersecurity Compliance Manager

    2 weeks ago

    Old Toronto, Canada Dovel Technologies, Inc Full time

    Strategic Leadership Role in Cybersecurity and NERC ComplianceAs a Lead Cybersecurity Compliance Manager at Dovel Technologies, Inc., you will have the opportunity to lead client management, solution implementation, and project delivery. This role requires facilitating sales processes, establishing and leading project workstreams while interacting with...

  • Strategic Global HR Lead for Univeris

    4 weeks ago

    Old Toronto, Canada Univeris Corporation Full time

    About the RoleWe are seeking an experienced Strategic Global HR Lead to join our team at Univeris Corporation. This is a key role that will lead and manage all HR functions globally, ensuring alignment with the company's strategic goals and compliance with local labor regulations in various regions.

  • Strategic Compliance Director for Financial Sales

    4 weeks ago

    Old Toronto, Canada iA Financial Group Full time

    Compliance Leadership Role in Financial SalesWe are seeking a seasoned professional to join our team as a Strategic Compliance Director for Financial Sales. This is an exciting opportunity to lead and oversee the firm's compliance with rules and regulations related to sales and marketing communications.The successful candidate will be responsible for...

  • Compliance and Risk Management Lead

    2 weeks ago

    Old Toronto, Canada Société Financière Manuvie Full time

    Director of Regulatory Risk and Change ManagementSociété Financière Manuvie is seeking a seasoned professional to lead our regulatory risk management efforts. This critical role offers a unique opportunity to drive meaningful change, influence key stakeholders, and gain valuable experience in strategic risk management.In this position, you will oversee...

  • Operational Resilience Strategic Lead

    1 day ago

    Old Toronto, Canada Sun Life Financial Full time

    Sun Life Financial is a leading insurance company that values operational resilience and sustainability.We are seeking an experienced Operational Resilience Strategic Lead to join our team. As a key member of our Risk Management department, you will play a critical role in driving the company's operational resilience initiatives.Job Description:The...

  • Risk Management and Compliance Strategic Leader

    2 weeks ago

    Old Toronto, Canada TD Full time

    About the Role:As a Senior Manager, Compliance and Risk Management at TD, you will oversee a function of enterprise Risk Program professionals providing oversight and control related advisory services to Risk partners.Key Accountabilities:Provide strategic direction on a broad and diverse range of complex global Risk program activities.Develop Risk...

  • Compliance Expert with Strategic Focus

    2 weeks ago

    Old Toronto, Canada OTT Financial Group Full time

    OTT Financial Group is a leading fintech company dedicated to delivering innovative financial solutions. With a strong focus on acquiring and issuing business, we are developing a cutting-edge mobile-first platform that offers a wide range of financial services, loyalty programs, and products, including credit cards, payment solutions, e-commerce, gift...

  • Strategic Asset Optimization Lead

    2 weeks ago

    Old Toronto, Canada Lock Search Group Full time

    Unlock Career GrowthA Senior Asset Management Consultant Opportunity in Downtown Toronto, ONAbout the Role:The Lock Search Group is seeking an experienced Strategic Asset Optimization Lead to join their team. This senior-level position offers the chance to lead critical projects in portfolio optimization, risk assessment, and strategic investment...

  • Strategic Investment and Compliance Director

    1 month ago

    Old Toronto, Canada Bankonloop Full time

    Join Bankonloop, a leading FinTech company in Toronto.We're looking for an experienced professional to lead our investment and compliance functions. As a key member of our team, you will be responsible for managing our investment products, maintaining and building new product offerings, and overseeing our capital raising strategies.This role requires a deep...

  • Strategic Portfolio Manager, Risk and Compliance

    2 weeks ago

    Old Toronto, Canada Scotiabank Full time

    Job DescriptionWe are seeking an experienced Strategic Portfolio Manager to join our team in Toronto, Canada. The successful candidate will be responsible for providing strategic support to the International Banking Portfolio Management Office (IB PMO) function.Main Responsibilities:Portfolio Governance: Work closely with Project Managers to ensure...

  • Strategic Treasury Lead

    4 weeks ago

    Old Toronto, Canada Scotiabank Full time

    About the OpportunityWe are seeking a highly skilled Strategic Treasury Lead to join our team at Scotiabank in Toronto, Canada.This role will play a key part in supporting the Director of Global Cash Management (GCM) Treasury in ensuring business strategies, plans, and initiatives are executed and delivered in compliance with governing regulations, internal...

  • Strategic Risk and Compliance Manager

    3 days ago

    Toronto, Ontario, Canada BMO Financial Group Full time

    BMO Financial Group is a leading financial institution with a strong commitment to driving positive change in the lives of our clients, communities, and employees. As a Strategic Risk and Compliance Manager, you will play a critical role in shaping our risk management culture and ensuring the effective implementation of first-line-of-defense programs.About...

  • Strategic Transformation Lead

    2 weeks ago

    Old Toronto, Canada OntarioMD Full time

    At OntarioMD, we are seeking a highly skilled and experienced Strategic Transformation Lead to drive our corporate strategy and ensure organizational success. This is a permanent, full-time position that will play a critical role in shaping the future of our organization.About the RoleThe Strategic Transformation Lead will be responsible for leading the...