Compliance Specialist, Capital Markets

1 month ago

Montreal, Canada iA Private Wealth Inc. Full time

Description

The Capital Market Compliance Specialist helps iAPW Capital Market department making sure that distributions follow rigorous compliance standards and implements controls. The specialist helps the business unit in its projects from a compliance standpoint, making sure the firm’s P&P are followed while proposing innovative compliance solutions to securities distribution.

This position involves actively reviewing new product offerings within iAPW Capital Market department, ensuring adherence to regulatory requirements, offering trainings, and assisting in the development and implementation of compliance processes. The role demands analytical skills, attention to details and the ability to work collaboratively across departments to maintain the organization's commitment to market integrity and regulatory adherence.

The position requires strategic thinking to meet dynamic business and operational challenges, while maintaining alignment with the organization policies’ objectives.

This role is highly specialized and requires autonomy in making recommendations that impact the organization's risk management and adherence to financial regulations.

Key Responsibilities:

Support iAPW Capital Market in its initiatives related to distribution of new issues and other products. Lead compliance specialist to respond to complex questions from business units relating to capital markets. Ensure compliance with industry regulations, adapting strategies to reflect changing regulatory landscapes and business needs. Foster a culture of continuous learning and professional development within the team and business units by providing periodic trainings. Proactively identify regulatory changes, train the team and business units on the changes, and make sure the processes are adjusted accordingly. Engage with internal departments, guiding and influencing decisions related to capital market compliance. Make informed compliance recommendations based on an understanding of the wider business plan of the firm. Draft internal policies and procedures related to capital market compliance in accordance with applicable laws and regulations. Act as a subject matter expert, providing recommendation and ensuring compliance across the business units. Identify and assess potential risks in capital market origination activities and put in place a strategy to mitigate them with the business units. Regularly report to senior management on risk assessments and compliance status

Education and Accreditations

University Degree or a College Diploma preferable in Law, Finance, Economics, Accounting or similar disciplines Proven compliance experience in capital market regulations in Canada At least 8 years directly relevant capital markets experience Comprehensive understanding of equity, fixed income and foreign exchange transaction processes and back-office systems Exceptional analytical, problem solving, and communication skills Strong judgment and critical thinking skills Strong knowledge of the securities regulatory landscape (CIRO, CSA and AML rules) Proficient in MS Office (Outlook, Word, Access, Excel, PowerPoint)

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