Sales Compliance Director

4 weeks ago

Old Toronto, Canada Iaawg Full time
Lead Sales Compliance Specialist

The Sales Compliance Director at iA Private Wealth plays a critical role in ensuring that all sales and marketing communications are compliant with regulatory requirements.

This position requires strong leadership and analytical skills, as the individual will be responsible for overseeing the firm's compliance with rules and regulations related to sales and marketing communications. The ideal candidate will have a deep understanding of regulatory requirements and be able to provide guidance and support to stakeholders across the organization.

The successful candidate will work closely with partners across iA Private Wealth's Compliance team, Senior Management, the Legal Department, and external stakeholders to ensure that all communications align with regulatory standards. They will also provide support to the Director, Business Conduct and Tier 1 Supervision on matters concerning adherence to legal and industry-specific guidelines when communicating information about products or services to the public.

Key Responsibilities:
  • Review and Approve Marketing Materials: Ensure that all marketing materials comply with regulatory requirements by reviewing and approving them before they go to print or online.
  • Support on Sales-Related Complaints: Provide support on sales-related complaints and help resolve issues by ensuring that the firm's practices are in line with regulatory standards.
  • Regulatory Compliance: Stay up-to-date 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 (email surveillance, social media review, approvals, advisor stream, iconic, CQ5, addressing potential violations of regulatory requirements, etc.). Ensure that complete records are maintained for future examination by regulators and internal audit teams.
  • 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 address operational challenges and resources.
  • Oversee Day-to-Day Execution of Work Activities: Provide support where possible through direct or delegated actions.
  • Promote Continuous Learning: Encourage knowledge management and support cross-training initiatives in the Compliance Sales Communications team.
  • Guide and Influence Senior Leaders: Understand their concerns and objectives and tailor communication and guidance to align with their priorities.
  • Participate in Special Projects: Contribute expertise to projects requiring input and expertise (sales communication portal, marketing initiatives, etc.).

We offer an estimated salary range of $110,000 - $140,000 per year, based on experience and qualifications. This is a competitive salary in the industry, reflecting the importance of this role in maintaining our firm's reputation and ensuring regulatory compliance.

About Us

iA Private Wealth is a leading wealth management firm in Canada, offering customized solutions to discerning investors across the country. With over $48 billion in assets under administration, we are committed to serving our advisors and clients with professionalism and integrity.

We value our employees' skills and experience and strive to create a positive and inclusive work environment. If you are a motivated and detail-oriented professional with a passion for regulatory compliance, we encourage you to apply for this exciting opportunity.

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