Senior Compliance Officer

3 weeks ago

Toronto, Ontario, Canada IA Financial Group Full time

Job Summary:

We are seeking a highly skilled Senior Compliance Officer to join our team at IA Financial Group. The successful candidate will be responsible for ensuring compliance policies and procedures are maintained at each office, reviewing and approving new account openings, and providing supervision of trades and advice given to clients.

Key Responsibilities:

  • Ensuring compliance policies and procedures are maintained at each office;
  • Reviewing and approving new account openings;
  • Providing supervision of trades and advice given to clients;
  • Supervising Branch Manager and/or Representative activities;
  • Reviewing and following up on previous day's trades;
  • Following up on questionable trades and escalating as necessary;
  • Completing KYC update review and approval;
  • Providing training and education to the field;
  • Providing coverage and support to other Corporate Branch Managers on the team;
  • Providing support to our order affirmation team and other compliance teams as needed;
  • Monitoring trends, communicating findings and implementing corrective actions;
  • Acting as a resource for the field;

Qualifications:

  • University degree or equivalent post-secondary education;
  • Excellent knowledge of the mutual fund industry;
  • Minimum 2-3 years of compliance supervision experience and 3-5 years in the Mutual Fund Industry;
  • Completion of the Canadian Investment Funds Course and Exempt Market Products Course, or Canadian Securities Course;
  • Completion of the Branch Managers Course or either the Officers, Partners and Directors (OPD) Course or Partners, Directors and Officers (PDO) Course;
  • Ability to understand, analyze and interpret Regulatory legislation.
  • Advanced level of English and French language skills as the person will be required to communicate (also supervise and train) about 80% of the time with colleagues and advisors in both languages.

Only qualified candidates will be contacted. Thank you for your interest in IA Financial Group.

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