Team Lead, Trading Conduct Compliance

iA Private Wealth Inc. (iAPW) / Compliance Department (Trade Conduct Compliance) / Montreal / Start as soon as possible / Hybrid_

The Team Lead for the Trading Compliance department at _iA Private Wealth _plays a pivotal role by ensuring that supervision and compliance standards are met across trading activities. This leadership position entails actively monitoring and reviewing trades, ensuring strict adherence to regulatory requirements, and spearheading the development and robust implementation of compliance processes.

The Team Lead will be responsible for coaching, guiding, and dispatching tasks across the team, fostering a culture of accountability and ownership. An essential aspect of the role involves instilling a strong sense of collaborative teamwork among team members, effectively promoting open communication and feedback while inspiring peak performance.

The position requires a strong emphasis on effective decision-making, proactive conflict resolution, and fostering an environment conducive to the professional development and growth of individual team members. The Team Lead must exhibit a keen ability to plan and organize effectively while advocating for a positive and inclusive team culture. Collaboration with other departments will be crucial to achieving mutual objectives. Above all, the role demands exemplary analytical skills and a meticulous attention to detail.

**Key Responsibilities**:

- Lead and oversee a professional team consisting of Compliance Officers, Analysts, and periodically Interns.
- Efficiently delegating tasks across the team to achieve timely and accurate deliverables.
- Utilize broad knowledge of compliance disciplines to monitor and review trading activities, ensuring alignment with industry regulations and company policies.
- Assist in the development and implementation of compliance policies and procedures.
- Provide regular reports on compliance matters and trade surveillance findings to the Manager.
- Offer guidance and advice to new team members, sharing expertise and best practices in trade conduct compliance.
- Contribute to team training and development initiatives related to compliance.
- Resolve routine compliance problems by analyzing possible solutions based on technical experience, judgment, and precedents.
- Collaborate with the team to identify and address regulatory changes and operational challenges.
- Communicate complex compliance information effectively to team members and other departments in everyday situations.
- Engage in continuous learning to stay updated on regulatory changes and best practices in trade conduct compliance.

**Education/Work Experience/Designations**
- Minimum 5 years of experience of relevant experience within the investment industry, especially in trading surveillance.
- University Degree or a College Diploma preferable in Finance, Economics, Accounting or similar disciplines
- Knowledge of equity, fixed income, and foreign exchange transaction processes.
- Proficient in MS Office (Outlook, Word, Access, Excel, PowerPoint)
- Excellent analytical, problem-solving, and communication skills.
- Proficient in the use compliance monitoring systems.
- Completed courses: Canadian Securities Course or CFA Level 1, Conduct and Practices Handbook Course and Investment Dealer Supervisors Course
- Excellent written and verbal communication skills.
- Strong organizational skills
- Strong judgment and critical thinking skills
- Strong knowledge of the securities regulatory landscape (CIRO, CSA)

**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, write to us. Someone from our team will be happy to assist you.