Director Tier 1 Supervision

iA Financial Group•Montreal, QC

1d•CA$130,000 - CA$160,000•Hybrid

About The Position

This job is responsible for designing and maintaining the Business Conduct & Tier 1 Surveillance Program. This program is for all registered branches across Canada in accordance with regulatory requirements in particular those established by securities regulations and Self-Regulatory Organizations (SROs), including the Investment Regulatory Organization of Canada (IIROC), as well as internal policies and procedures.

Requirements

10+ years of relevant securities experience
Bachelor or College Degree
Experience in dealing with various regulatory organizations including but not limited to IIROC, AMF, OSC and OBSI
Strong industry knowledge across a number of products
Fluent in French and an advanced level of English are required
Available to travel occasionally

Nice To Haves

Curiosity and strong leadership skills
Problem solving skills
Great communication and presentation skills

Responsibilities

Manage a team of three Senior Branch Managers, 40-45 Branch Managers and Branch Administrators
Oversee day-to-day management of system integrity of compliance reporting, product due diligence, regulatory inquiries and support of all compliance areas
Support the Senior Branch Managers and the Branch Managers in servicing the advisors and the branches
Responsible for the branch visit program including supervision of frequency and scheduling
Develop and recommend policy and procedure changes based on regulatory events
Keep abreast of new or proposed regulatory policies and industry trends analyze the impact of these potential changes on our trade surveillance program
Train and develop Tier 1 employee
Draft and distribute Compliance memos
Act as the Compliance subject matter expert on all firm initiatives
Update Policy and Procedures and Forms as needed