Branch Compliance Review Manager

6 days ago


Kelowna, British Columbia, Canada iA Financial Group Full time
Job Summary:

iA Financial Group is seeking a highly experienced Branch Compliance Review Manager to join our compliance audit team. The successful candidate will be responsible for managing the branch review program, ensuring compliance with Investia's policies and procedures, and regulatory requirements across Canada, with a focus on British Columbia and Alberta.

The ideal candidate will have at least 3-5 years of experience in CIRO registrant audit functions, strong knowledge of the mutual fund industry, and current regulatory rules. A post-secondary degree or diploma in business, finance, economics, or a related discipline is also required. Meeting current proficiency requirements for branch manager or officer/partner registration from either the Canadian Securities Institute or IFSE Institute is essential.

Key Responsibilities:

• Manage the branch review program to ensure compliance with Investia's policies and procedures and regulatory requirements.
• Conduct thorough reviews of assigned registered locations to identify areas for improvement and provide recommendations for remediation.
• Develop and implement effective training programs for Representatives, their support staff, and branch staff to enhance their knowledge of regulatory and Investia policies and procedures.
• Collaborate with the compliance audit team to develop and maintain comprehensive branch review reports that document identified issues and recommended solutions.
• Foster a culture of compliance within the organization by promoting a proactive approach to regulatory adherence and encouraging open communication between employees and leadership.

Requirements:

• At least 3-5 years of experience with CIRO registrant audit functions.
• Strong knowledge of the mutual fund industry, current regulatory rules, policies, and procedures, and industry guidelines as they relate to branch audits and best practices.
• Post-secondary degree or diploma in business, finance, economics, or other related disciplines.
• Meeting current proficiency requirements for branch manager or officer/partner registration from either the Canadian Securities Institute or IFSE Institute.
• Excellent oral and written communication skills. Fluency in French is considered an asset.
• Ability to work effectively in a team environment and lead cross-functional projects.
• Strong analytical and problem-solving skills, with the ability to interpret complex data and develop actionable recommendations.
• Experience working with Microsoft Office Suite, particularly Excel, Word, and PowerPoint.

About iA Financial Group:

iA Financial Group is a leading insurance company with over 10,000 employees and more than five million clients. We offer a wide range of insurance, savings, and wealth management products and services. Our commitment to diversity and inclusion is reflected in our workplace culture, where we celebrate individual differences and promote a sense of belonging among all employees.

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