Director of Compliance, Team Leader

iA Financial Group • Vancouver, BC

21d • Hybrid

About The Position

iAGMA is the portfolio manager for iA Financial Group, managing over $100 billion in assets across general funds of insurance companies, segregated funds, mutual funds, and managed accounts. The Compliance team collaborates closely with portfolio managers and senior management to ensure that operations comply with securities legislation, internal policies and procedures, and industry practices. This position is for a motivated, self-reliant, and creative individual who can find innovative solutions, prioritize tasks in a fast-paced environment, and is known for their communication, interpersonal, and process improvement skills, with an interest in working with IT systems. iA Financial Group, the parent company, has over 8,000 employees and manages over $200 billion in assets, serving more than four million clients and 25,000 advisors in insurance, savings, and wealth management across Canada and the United States. The company emphasizes its commitment to diversity and inclusion, striving to provide an inclusive workplace for all, regardless of various personal attributes, and offers assistance for accessibility during the recruitment process. iA Financial Group has been recognized as one of Canada’s top employers by Forbes and Glassdoor.

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, as the candidate will be required to participate in management meetings, collaborate with internal teams across Canada, and interact with internal and external partners on a daily basis
• 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 to ensure the accuracy of deliverables
• 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) are a plus

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, in particular: conflict of interest management, personal transactions, regulatory filings, and reporting to regulatory authorities and internal bodies
• Ensure rigorous management of compliance risks, including the implementation and monitoring of required controls as well as associated documentation
• Deploy, coordinate, and monitor key compliance initiatives and projects, including projects related to process modernization, optimization, automation, and harmonization, as well as any 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

Benefits

• A work environment where learning and development merge with a collective pursuit of excellence
• A healthy, safe, fair, and inclusive environment where potential can be freely expressed and developed
• The opportunity to work in a hybrid work environment, supported by flexibility and access to inspiring and innovative workspaces
• Flexible group insurance
• Competitive pension plan
• Stock purchase plan
• Vacation and wellness/personal development days
• Telemedicine
• Employee and family assistance program
• Ergonomic furniture program
• Performance bonuses
• Discounts on iA products

What This Job Offers

• Job Type: Full-time
• Career Level: Director
• Number of Employees: 1,001-5,000 employees