Compliance Officer

iA Financial Group•Montreal, QC

1d•Hybrid

About The Position

Build the future with us Are you eager to contribute to the purpose of a company that aims to help its clients feel confident and secure about their future? As a Compliance Officer, you will play a key role in establishing and nurturing strong professional relationships with Branch Managers and Portfolio Manager teams, ensuring strict adherence to regulatory and firm compliance standards. This position is a great opportunity to showcase your skills and fully realize your potential within a caring and trustworthy company. Here, people and their development are at the heart of our priorities, fostering an environment that encourages collaboration and innovation.

Requirements

Strong analytical skills
Organization and prioritization skills
Strong clear and professional communication skills
Knowledge of CIRO rules and regulations, and Anti-Money Laundering requirements
2-3 years or more directly relevant investment industry experience with a CIRO member firm, preferably within a compliance related role
Canadian Investment Regulatory Exam (“CIRE”) and Retail Securities Exam and Supervisor Exam
Minimum two years of relevant experience acceptable to the Corporation.
Licensed CIRO Supervisor

Responsibilities

Review and analyze daily Tier 2 transactions and non-transactional activities
Assess new account documentation for the Managed Program (e.g., Investment Policy Statements, Managed Account Agreements)
Ensure account approvals align with client suitability and fully documented investment instructions
Monitor adherence of Portfolio Managers to policies outlined in the Compliance Manual
Identify gaps or deficiencies and advise Branch Managers on required updates or missing documentation
Provide ongoing compliance guidance to Branch Managers and other business units
Respond to inquiries and requests directed to the Compliance Department related to managed accounts
Review and approve sales communications for Portfolio Manager teams
Stay current on regulatory changes, policy updates, and industry developments to ensure continuous compliance
Provide ongoing assistance and knowledge sharing within the team
Promote a strong culture of compliance by increasing awareness and understanding of regulatory standards
Support the development and delivery of training for newly hired Compliance Analysts, as needed
Assist the Managed Accounts Supervisor/Manager with ad hoc projects and supervision-related initiatives
Contribute to broader compliance and operational improvement initiatives