Compliance Analyst, Trade Supervision

Compliance/Permanent/Work from home/Bilingualism/Toronto, Montreal, Quebec City, Vancouver/Desired start date: As soon as possible_

Do you consider yourself eager, flexible and results focused? Investia needs you to help support its mission Reporting to the Compliance Manager, the Compliance Analyst, Trade Supervision will be responsible for head office trade supervision, various trend report reviews and other compliance duties as needed. More specifically:

- Review as per Head office trade supervision requirements in certain regions;
- Reviewing and approving new account openings as needed;
- Reviewing and following up on previous day’s trades as needed;
- Following up on questionable trades and escalating as necessary;
- Completing KYC update review and approval as needed;
- Ensuring compliance with suitability requirements;
- Review and assist in various trend reports;
- Assist with Tier 2 Leverage review and approval process;
- Assist in Limited Authorization form processing;
- Assist in review of all trades in Order Affirmation status;
- Participating in compliance meetings;
- Monitor trends, communicating findings and implementing corrective actions;
- Acting as backup coverage, as required;
- Other duties as assigned;
- Your career path looks like this:_
- University degree or equivalent post-secondary education;
- ** Excellent knowledge of the mutual fund industry**;
- Preferred 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 Exchange Traded Funds Course and Hedge Funds and Liquid Alternative Mutual Funds course (in due time);
- Completion of the Branch Managers Course or either the Officers, Partners and Directors (OPD) Course or Partners, Directors and Officers (PDO) Course (in due time_);_
- Ability to understand, analyze and interpret Regulatory legislation;
- Excellent problem solving, organizational and communication skills;
- Ability to work both independently and as part of a team;
- Must be fluent in both, French and English (strong asset).

We offer a team-oriented environment with challenge, open communication, growth and more. The role entails compliance support to the entire team and offers a vast learning opportunity.

**Company Overview**:
**About**:
iA Financial Group is the strength of 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. The secret to our success? Investing in you, one person at a time. Because, for over 125 years, we have believed that it’s by supporting our employees and surrounding ourselves with the most reputable leaders in the industry, we will continue to innovate.

At iA, we’re invested in you.

**Our commitment to Diversity and Inclusion**:
At iA Financial Group, 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.

Please note that if you need help or assistance to make the recruitment process more accessible for you, please contact us here. Someone from our team will be happy to assist you.