Senior Compliance Officer

1 month ago

Old Toronto, Ontario, Canada iA Financial Group Full time
Job Summary:

As a Senior Compliance Officer at iA Financial Group, you will play a key role in ensuring the company's compliance policies and procedures are maintained at each office. Your responsibilities will include reviewing and approving new account openings, ensuring compliance with suitability requirements, and providing training and education to the field. You will also provide coverage and support to other Corporate Branch Managers on the team and monitor trends, communicating findings and implementing corrective actions.

Key Responsibilities:
  • Ensure compliance policies and procedures are maintained at each office;
  • Review and approve new account openings;
  • Ensure compliance with suitability requirements;
  • Provide training and education to the field;
  • Provide coverage and support to other Corporate Branch Managers on the team;
  • Monitor trends, communicate findings and implement corrective actions;
  • Act as a resource for the field.

Requirements:
  • Minimum 2-3 years of compliance supervision experience and 3-5 years in the Mutual Fund Industry;
  • 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.

About iA Financial Group:
iA Financial Group is a company with a human side, with its over 8,000 employees. Together, we have earned the trust of our more than four million clients and 25,000 advisors who have chosen us for their insurance, savings, and wealth management. With over $200 billion in assets and half a billion invested in technological innovation, we're a key player in the financial services industry in Canada and the United States. We believe that it's by supporting our employees and surrounding ourselves with the most reputable leaders in the industry, we will continue to innovate.

Our Commitment to Diversity and Inclusion:
We support and celebrate diversity. We strive to provide a workplace that is recognized as inclusive for all, regardless of ethnic origin, nationality, language, religious beliefs, gender, sexual orientation, age, marital status, family situation, or physical or mental disability. If you need help or assistance to make the recruitment process more accessible for you, please contact us.

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