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Branch Compliance Auditor

3 weeks ago

Vancouver, British Columbia, Canada Investia Financial Services Full time

Join Us as a Branch Compliance Auditor, Shape the Future of Our Firm

Location:
Western Canada (Vancouver or Victoria preferred)

Start Date:
As soon as you're ready to make an impact

Type:
Full‑time, Permanent

Who you are

At Investia, compliance is a strategic lever, not a checklist. You're an experienced auditor who thrives on autonomy, embraces responsibility, and loves to coach others to excel. You see compliance as an opportunity to build trust, set high standards, and help colleagues grow. You'll operate with real autonomy, strong ownership, and a mandate to raise the bar across branches, while partnering with advisors to keep client interests at the forefront.

Our culture explicitly champions
High Performance
alongside
Learning Agility
,
Inspired Teams
, and
Client Centricity
, the four behavioural themes that power the Investia belief.

You'll join a team that is actively modernizing how we work: embracing our
digital approach and lean methodology
, introducing
new dashboards
, and progressing
AI integration
,

What you'll own (outcomes that matter)

  • Raise standards, create impact:
    Lead branch reviews that don't just identify gaps, translate findings into actionable improvements, then verify resolution. Your work will leave every location stronger than you found it.
  • Coach for performance:
    Turn audits into learning moments by educating representatives and their staff, strengthening consistency and outcomes across regions.
  • Tell the story with clarity:
    Produce incisive, constructive reports that connect issues to business risk and client impact, and guide timely, tangible fixes.
  • Solve problems:
    Partner with Audit Team Leaders and Regional Compliance Leaders to analyze situations, propose creative solutions. You see challenges as opportunities for change.
  • Transform reluctance into results:
    When Representatives hesitate, you seize the moment to build trust and showcase the strategic value of compliance. Through listening, direct communication, and a partnership mindset, you turn resistance into productive dialogue.
  • Contribute beyond the branch:
    Support special Head Office projects that shape how compliance enables growth across the firm.

What sets our environment apart

  • Autonomy with support:
    Run your reviews independently but never alone, tap into a network of auditors, coaches, and leaders who celebrate wins and share ideas.
  • A performance‑driven culture:
    Our High‑Performance emphasis is woven into goals, feedback, and team behaviours (Altitude). If you love setting ambitious targets, removing inefficiencies, and delivering measurable results, you'll fit right in.

What you bring

  • 3–5+ years in registrant audit functions and deep mutual fund industry knowledge.
  • Post‑secondary education in business/finance/economics and CIRO/CSI certifications (or motivation to obtain).
  • Excellent oral and written communication skills that facilitate collaboration and problem solving. French fluency is a plus.
  • Self‑starter mindset, organizational savvy to manage your own schedule, and comfort traveling (~50% across Western Canada).
  • Comfort with Microsoft Word, Excel, Outlook, Teams; curiosity for new systems.

Where You Can Go from Here

Start by owning the branch review program and delighting your colleagues with your insight and support. If you're ambitious, you'll find Investia a fertile ground for learning, growth, and making a real mark on the industry.

Company Description

Investia Financial Services Inc., a subsidiary of Industrial Alliance Insurance and Financial Services Inc., specializes in the distribution of mutual funds and segregated funds. With a commitment to providing high-quality financial products and services, Investia supports clients in achieving their financial goals. The organization emphasizes a client-focused approach, leveraging its extensive expertise and resources in the financial services industry.