Managed Account Supervisor

iA Financial Group•Montreal, QC

3d•Hybrid

About The Position

Build the future with us Are you eager to contribute to the purpose of a company that aims to help its clients feel confident and secure about their future? As a Managed Account Supervisor, you will play a key role in establishing and nurturing working relationships with Portfolio Managers, ensuring strict adherence to regulatory and firm compliance. This position is a great opportunity to showcase your skills and fully realize your potential within a caring and trustworthy company. Here, people and their development are at the heart of our priorities, fostering an environment that encourages collaboration and innovation.

Requirements

5 years or more relevant investment industry experience with a CIRO member firm or an ICPM acceptable to the Corporation, preferably within a compliance related role
CIRO Registration as a Supervisor
Canadian Investment Regulatory Exam (“CIRE”), Retail Securities Exam, and Supervisor Exam and minimum two years of relevant experience acceptable to the Corporation OR have been licensed within the last 3 years on the Investment Dealer side with CIRO, with required CSI courses in good standing (Canadian Securities Course, Conducts & Practices Handbook, etc)
Strong knowledge of CIRO and CSA rules
Strong analytical and critical thinking skills
Self-motivated and proactive, with the ability to effectively manage competing priorities in a dynamic environment
Highly organized with strong attention to detail and the ability to prioritize and manage multiple tasks in a high-volume, fast-paced setting
Excellent written and verbal communication skills, with the ability to engage effectively with both Portfolio Managers and Head Office employees
Demonstrates sound judgment and a high degree of discretion in handling confidential information
Proficient in Microsoft Office Suite (Outlook, Word, Excel, PowerPoint, OneNote)

Nice To Haves

Options licensed or CIRO Derivatives exam is a strong asset
CIM Designation and/or CFA Charter
Bilingual in English and French is strongly preferred

Responsibilities

Conduct comprehensive quarterly portfolio reviews for managed accounts (including Unified Managed Accounts) to ensure adherence to regulatory and firm compliance standards
Review and approve New Client Account Forms (NCAFs), KYC updates, and Investment Policy Statements (IPS) to assess the suitability of proposed investment strategies
Perform quarterly pooled fund trade reviews to support ongoing suitability and compliance oversight
Participate in the review, interpretation, and resolution of compliance-related matters
Provide ongoing guidance to Portfolio Managers and other business units on compliance requirements and expectations
Provide training and onboarding support to Portfolio Managers on managed platforms and best practices
Foster strong working relationships with Portfolio Managers and their teams to support effective communication and collaboration
Address and de-escalate issues raised by business partners by identifying practical solutions that balance business needs with regulatory requirements
Promote a culture of compliance by working collaboratively with internal teams to enhance awareness and understanding of compliance standards
Identify opportunities to enhance efficiency and effectiveness of the firm’s compliance and supervision systems
Stay current on regulatory developments and maintain a strong understanding of internal policies and procedures as well as within the industry