Director of Compliance, Team Leader

iA Financial Group•Vancouver, BC

3d•Hybrid

About The Position

The Investments Compliance team is seeking a motivated, self-reliant, and creative individual with strong communication, interpersonal, and process improvement skills, and an interest in IT systems. iAGMA, the portfolio manager for iA Financial Group, manages over $100 billion in assets. The Compliance team ensures operations comply with securities legislation, internal policies, procedures, and industry practices by working closely with portfolio managers and senior management.

Requirements

Bachelor’s degree in finance, accounting, economics, law, or a related field
At least 10 years of relevant experience in regulatory compliance or a similar role, including personnel management responsibilities
Excellent knowledge of financial products, Regulation 31-103, and the regulatory framework applicable to asset management companies
Advanced proficiency in English
Strong communication and interpersonal skills, and the ability to interact professionally with all levels
Ability to build and evolve digital solutions
A mindset focused on continuous improvement, creativity in finding innovative solutions, and a strong interest in process optimization
Inspiring leadership and a proven ability to mentor, develop, and grow a team of professionals
Exceptional attention to detail and analytical skills
Ability to think strategically and develop a strong understanding of the company’s needs
Motivated, self-reliant, and proactive, both in managing your workload and in your professional development
Strong ability to prioritize, handle multiple tasks simultaneously, and meet deadlines in a fast-paced environment
Team player with a focus on collective results

Nice To Haves

CSI courses or other courses or designations in the financial field (e.g., CFA designation)

Responsibilities

Oversee the recruitment, supervision, engagement, and performance evaluation of the team responsible for the regulatory compliance program
Set priorities, guide work, and ensure optimal resource allocation in line with objectives and ongoing projects
Oversee the development, updating, and implementation of the compliance program, including conflict of interest management, personal transactions, regulatory filings, and reporting
Ensure rigorous management of compliance risks, including the implementation and monitoring of required controls and associated documentation
Deploy, coordinate, and monitor key compliance initiatives and projects, including process modernization, optimization, automation, harmonization, and strategic or corporate projects involving compliance
Define, analyze, and monitor the team’s performance indicators and service standards
Maintain proactive regulatory monitoring and coordinate the implementation of required changes, including interactions with regulatory authorities
Work closely with management, the Chief Compliance Officer, and internal teams to support the achievement of the organization’s strategic priorities