Compliance Analyst

1 month ago

Toronto, Canada iA Private Wealth Inc. Full time

Description

Under the responsibility of the Director, Regulatory Compliance and the direction of the Compliance Officer, Complaints, the Compliance Analyst is responsible for investigating and resolving client complaints in both French and English and assisting with internal and regulatory investigations in accordance with regulatory requirements (in particular those established by Self Regulatory Organizations (SROs), including the Canadian Investment Regulatory Organization (CIRO)) for iAPW.

Your Day to Day

Assess, analyze and investigate client complaints as assigned, including:

Determining issues in client complaints Performing a detailed analysis including a review of advisor submissions, account documentation, file notes and communicating with clients, advisors and other internal departments for further details as required. Conducting suitability assessments Performing profit/loss calculations and constructing model portfolios Preparing substantive responses to client complaints based on the analysis and merits of the complaint for the Director, Regulatory Compliance or their designate to review. Prepare materials in response to regulatory inquiries, examinations and investigations and assist legal counsel as required in preparing Compliance files for arbitration, SRO disciplinary proceedings or civil litigation. Evaluate and make recommendations for the development/enhancement/clarification of policies, practices, procedures, and/or systems changes necessary to support ongoing compliance, including developing and recommending policy and procedure changes based on complaint experience and regulatory events to correct incidents of noncompliance (and prevent their reoccurrence) and weaknesses in policies, practices, procedures, systems and/or training. Promote good relations with Provincial/National/SRO Regulators under the direction of the Director, Regulatory Compliance and by: ensuring that any Regulatory reports and correspondence received are dealt with effectively and in a timely manner; and ensuring any queries from Regulators are dealt with promptly and effectively.

What You Have

College diploma (DEC in Quebec) or university degree 5 years or more of securities industry experience, preferably in a regulatory complaints officer role Knowledge of CIRO Policies and Procedures Canadian Securities Course and Conduct and Practices Handbook courses are assets Understanding of the securities market regulatory framework Advanced knowledge of English and French as the Compliance Analyst is responsible for responding to complaints in French and English on a daily basis.

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