Compliance Analyst

IA Clarington Investments Inc. is seeking a detail-oriented, self-motivated **Compliance Analyst **to join the Compliance team. Reporting to the Compliance Manager, this dynamic role will support the Compliance Group with their oversight, administrative and reporting functions for compliance with securities regulations (mainly National Instruments 81-102, 81-105, and 81-106) and internal policies and procedures. The primary areas of compliance within the Analyst’s accountability may include, but are not limited to Sales Practices Monitoring, Sales Communications Review and assistance with Training Programs.

The **Compliance Analyst **will mainly be responsible for the following duties:

- Review and assess Marketing Materials Communications.
- Evaluate and respond to requests relating to Sales Team activities and events.
- Monitor business promotional activities and gifting regularly for guidelines adherence
- Conduct regular targeted reviews of the corporate website and social media accounts.
- Improve efficiency, adequacy and effectiveness of compliance review processes
- Assist with updating internal policies and procedures with manager’s guidance.
- Stay up-to-date with regulatory developments with respect to sales practices and sales communications
- Assist in the development and implementation of compliance oversight for new product offerings and new regulatory initiatives.
- Assist with preparing reporting for senior management including detailed analysis of policy violations, ad hoc analysis and special reporting as required.
- Support the group’s new employee and periodic refresher training efforts.
- Help maintain Compliance documentation and recordkeeping.

**Requirements**:

- Post-Secondary Education Program Completion
- Knowledge of the mutual fund industry, participants and functions.
- Enrolment in or Successful Completion of the Canadian Securities Course (CSC).
- Bilingual is English and French is considered to be an asset.
- Ability to prioritize and manage a fast-paced workload of day-to-day and special projects.
- Detail oriented, reliable and thorough with effective organizational, administrative and time management skills.
- Excellent written and oral communication skills.
- Strong analytical, problem-solving and investigative-thinking skills with the ability to exercise sound judgement.
- Proactive and self-motivated, with the willingness to learn.
- The interpersonal skills to work in a team-oriented environment, building and maintaining working relationships with peer and internal partners.
- Intermediate working knowledge of Microsoft Excel, Word and PowerPoint.

**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 50,000 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.