Director Tier 1 Supervision
About The Position
Build the future with us Director Tier 1 Supervision You are a great communicator and you have excellent relationship skills? You are a natural leader and are great at influencing people? We have an opportunity for you in our iA Private Wealth compliance department! We are currently looking to hire a Director of Compliance – Business Conduct & Tier 1 Supervision to complete our growing team. 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
- Demonstrates strong industry knowledge across a number of products
- Fluent in French
- Advanced level of English
Nice To Haves
- Known for their curiosity and strong leadership skills
- Stands out for their problem solving skills
- Recognized for their 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
Benefits
- 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 bonus
- Discounts on iA products
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What This Job Offers
Job Type
Full-time
Career Level
Director
