Compliance Director, Sales and Marketing

4 weeks ago

Montreal, Quebec, Canada IA Financial Group Full time

Job Summary

We are seeking a highly skilled Compliance Director, Sales and Marketing to oversee the firm's compliance with rules and regulations related to sales and marketing communications. This role will ensure that all communications align with regulatory requirements and are fair, balanced, and not misleading.

Key Responsibilities

  • Review and Approve Marketing Materials: Review and approve all marketing materials to ensure they comply with regulatory requirements.
  • Support on Sales Related Complaints: Provide support on sales-related complaints. Help resolve issues and ensure that the firm's practices are in line with regulatory standards.
  • Regulatory Compliance: Stay current with regulations that oversee and enforce rules. Understand and apply rules from the Canadian Investment Regulatory Organization. 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 the Regulators and Internal Audit team.
  • 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 deal with operational challenges and resources.
  • Oversee day-to-day execution of work activities and provide support where possible through direct or delegated actions.
  • Promote continuous learning, knowledge management and support cross-training initiatives in Compliance Sales Communications team.
  • Guide and Influence senior leaders: grasp their concerns, and objectives. Tailor your communication and guidance to align with their priorities.
  • Participate in special projects requiring input and expertise (Sales Communication Portal, marketing initiatives etc..).

Qualifications

  • Bachelor's degree in Finance, Business, or Communications.
  • Recent (non-expired) course completions of the Canadian Securities Course (CSC) the Conduct and Practices Handbook (CPH) and the Branch Managers Course.
  • Minimum of 5 years of experience in a management role.
  • 10 years of relevant experience in Compliance, Communications or Sales Practices.
  • Advanced knowledge of English and French due to daily conversations and meetings with clients and leadership in addition to daily written correspondence in both languages.
  • Excellent communication and interpersonal skills.
  • Strong analytical and problem-solving skills.
  • Able to recognize and handle sensitive and confidential information.
  • Strong analytical skills and keen eye for detail.
  • Able to handle multiple tasks simultaneously and meet strict deadlines.
  • Ability to take initiative and work independently.
  • Ability to meet deadlines.
  • Advanced computer skills in the MS Office Suite (Microsoft word, Excel, Project, PowerPoint).
  • Highly analytical with continuous process improvement mindset.

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