Director, Compliance Tier 2 Supervision

iA Financial Group•Montreal, QC

3d•CA$165,000 - CA$180,000•Hybrid

About The Position

The Director Compliance, Tier 2 Supervision will oversee Managed Program, and Capital Markets. This position reports to the Chief Compliance Officer and Vice-President iA Private Wealth (CCO) who is responsible for all compliance and risk strategies, policies, and processes for all of iA Private Wealth. The Director Compliance will support the CCO in carrying out its functions and ensuring the compliance system satisfies complex regulatory requirements in a dynamic environment where new risks are continually presented. As a Director and leader, this person will also play a strategic role in challenging and helping the CCO to continuously improve the compliance program at iA Private Wealth and develop solid relationships with the business and its agents. This role will also act as an experienced resource for employees and agents to help ensure compliance with applicable securities requirements and internal policies and procedures. The Director Compliance will oversee all aspects of the tier 2 supervision program (including trade conduct compliance), managed program, and capital market compliance. In addition, he or she will help with product oversight.

Requirements

At least 15 years of experience in the financial industry
5 years of experience in a people management position
A bachelor's degree in the financial industry field, preferably in law
Ability to prioritize and execute multiple initiatives, projects and tasks with effective leadership
Interpersonal and communication skills
Excellent organizational and analytical skills
Strong knowledge of securities industry rules and regulations and financial products and services
Strong judgment, analytical and strategical thinking skills
High degree of ethical integrity
Completion of the Canadian Securities Course (CSC), Conduct and Practices Handbook (CPH), and Branch Managers Course and/or Canadian Investment Regulatory Exam (CIRE) and Retail Securities Exam, Supervisor Exam
Can travel to Montreal and Toronto on a monthly basis
Advanced level of English and French proficiency

Responsibilities

Lead, guide, and develop a team of 25 professionals located across Canada (mainly in Montreal and Toronto) and assure its performance in alignment with the iAPW values
Attract, retain and foster the professional development of top talent
Challenge the statu quo and improve and maintain the tier 2 supervision program (including trade conduct compliance), managed program, and capital market compliance program to ensure an effective compliance oversight function
Identify and implement opportunities to enhance risk management, productivity and operational efficiency, particularly in the area of process automation and work simplification
Stay abreast of changes in the regulatory framework to stay competitive and to improve our processes accordingly
Implement and present to the CCO key performance indicators, reports on product oversight, and reports on trading supervision and trends
Advise employees and advisors on iAPW policies and regulatory matters and identify training needs of team members to improve knowledge of the industry
Forecast trends and provide guidance to internal partners to support the implementation of appropriate changes
Participate and contribute to compliance and business initiatives aimed at developing new products and services and new processes to create efficiencies and support the business in its client and advisor experience initiatives
Work with cross-functional groups on ongoing changes to compliance requirements and risks reporting
Develop relationships with business partners and advisors to continue to improve collaboration and implement a strong compliance culture
Work with iA Affiliate Compliance teams to ensure a uniform standard of compliance that leverages the strengths and expertise of the wealth management group of companies
Attend relevant industry events and forums to keep abreast of the evolving regulatory environment and various industry initiatives and issues
Build a network of industry contacts to gather competitive intelligence and best practices
Perform other responsibilities prescribed by the CCO