Compliance Officer

1 week ago

Toronto, Canada iA Groupe financier iA Financial Group Full time

**Employer**: iA Private Wealth Inc.
- **Office**: 26 Wellington Street East
- **Location**: Toronto, Ontario
- **Job category**: Compliance Generalist/Multidiscipline
- **Job ID**: JR10023260
- **Job type**: Permanent Job

**Description**:
Are you an experienced compliance professional with a strong understanding of IIROC regulations?

At iA Financial Group, we are looking for a dedicated **Compliance Supervisor - Retail** to join our dynamic team. Reporting to the Manager of Compliance - Retail, you’ll play a key role in ensuring regulatory excellence and supporting our advisory network across Canada.

**Key responsibilities include**:

- Reviewing and analyzing daily Tier 2 transactions and non-transaction operations
- Analyzing and performing a monthly review of account statements
- Advising branch managers when updates are required or documents are missing
- Following up on the various requests made by the Compliance Department
- Providing compliance support to Branch Managers & other business divisions
- Review Sales Communications for Advisory Network
- Validation of the qualification of Accredited Investor

**Skills you bring to the role**:

- 5+ years of relevant industry experience
- IIROC Supervisor license and strong knowledge of IIROC policies
- Familiarity with AML (Anti-Money Laundering) policies and the Canadian securities regulatory framework
- The Canadian Securities Course, Conduct & Practices Handbook Course, Branch Manager Course & Knowledge of the securities industry (an asset)
- Bilingualism (English/French) is an asset due to frequent interactions with English and French speaking colleagues, internal partners and clients across Canada
- Strong analytical and organizational skills

**What makes iA a great place to work?**
At iA, we believe in empowering our people. You’ll benefit from:

- A collaborative and inclusive work environment
- Flexible and work/life balance
- Opportunities for professional growth and development
- A company culture that values innovation, integrity, and work-life balance

**Invest in your talent by joining our team**:
See why so many people choose iA

**Company Overview**:
iA Financial Group is the strength of a company with a human side, with its over 10,000 employees. Together, we have earned the trust of our more than five million clients and 50,000 advisors who have chosen us for their insurance, savings, and wealth management.

With over $235 billion in assets, 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 130 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, write to us. Someone from our team will be happy to assist you.

  • Compliance Officer

    6 days ago

    Toronto, Canada Advapay Full time

    Advapay Canada is a one-stop shop solution for companies looking to launch their FinTech business in Canada. We provide various consulting services related to MSB (Money Services Business) and PSP (Payment Service Provider) registration with FINTRAC and the Bank of Canada. Advapay supports its clients with compliance program development, business plan...

  • Compliance Officer

    6 days ago

    Toronto, Canada Advapay Full time

    Advapay Canada is a one-stop shop solution for companies looking to launch their FinTech business in Canada. We provide various consulting services related to MSB (Money Services Business) and PSP (Payment Service Provider) registration with FINTRAC and the Bank of Canada. Advapay supports its clients with compliance program development, business plan...

  • Compliance Officer

    15 hours ago

    Toronto, Canada Advapay Full time

    Advapay Canada is a one-stop shop solution for companies looking to launch their FinTech business in Canada. We provide various consulting services related to MSB (Money Services Business) and PSP (Payment Service Provider) registration with FINTRAC and the Bank of Canada. Advapay supports its clients with compliance program development, business plan...

  • Compliance Officer

    2 hours ago

    Toronto, Ontario, Canada Advapay Full time

    Job Title:Compliance OfficerCompany:Advapay CanadaLocation:Toronto, ON (Hybrid)About Advapay CanadaAdvapay Canada is a one-stop shop solution for companies looking to launch their FinTech business in Canada. We provide various consulting services related to MSB (Money Services Business) and PSP (Payment Service Provider) registration with FINTRAC and the...

  • Compliance Officer

    1 week ago

    Toronto, Canada Campus Support Full time

    We are happy to say that we are looking for an experienced **Compliance Office to join our team at Campus Support - Toronto GTA, Ontario** **Reporting to**: Regional Compliance/Finance Manager **Hours**: 40 hours a week, 9am-5pm EST **Address**:Toronto GTA Campuses **Preference**:Experience with Post Secondary Private or Public Education Institution...

  • Compliance Officer, Compliance

    5 hours ago

    Toronto, Ontario, Canada CIBC Full time

    We're building a relationship-oriented bank for the modern world. We need talented, passionate professionals who are dedicated to doing what's right for our clients.At CIBC, we embrace your strengths and your ambitions, so you are empowered at work. Our team members have what they need to make a meaningful impact and are truly valued for who they are and...

  • Compliance Officer

    1 week ago

    Toronto, Canada CIRO OCRI Full time

    **Position Title: Compliance Officer** **Department: Compliance** **Region: Toronto** **Status: Permanent Full-time (Hybrid)** CIRO is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada’s debt and equity marketplaces. CIRO is carrying on the regulatory functions of the...

  • Compliance Officer, Compliance

    2 days ago

    Toronto, Ontario, Canada CIBC Full time

    We're building a relationship-oriented bank for the modern world. We need talented, passionate professionals who are dedicated to doing what's right for our clients.At CIBC, we embrace your strengths and your ambitions, so you are empowered at work. Our team members have what they need to make a meaningful impact and are truly valued for who they are and...

  • Compliance Officer

    1 week ago

    Toronto, Canada PayAlly Full time

    **About us** PayAlly provides exceptional financial services for businesses with global ambitions. We offer a fully integrated suite of financial services solutions tailor-made for our clients. Since our inception in 2017, we have moved billions of dollars and have simplified complex finance processes. Job Title: Compliance Officer Key...

  • Compliance Officer

    5 days ago

    Toronto, Canada Iceberg Finance Group Full time

    **Company Overview**: iFinance Canada is a well-established national consumer financing company that offers various financing to Canadians since 1996. We are part of Iceberg Finance Group, a sister company based in Quebec that also does business across Canada. We are a dynamic, rapidly growing organization currently recruiting for a meticulous and...