Compliance Officer
Job Description
Job Description
Compliance Officer
Account Review & Transaction Oversight
- Review and analyze daily Tier 2 transactions and non-transactional activities,
- Assess new account documentation for the Managed Program (e.g., Investment Policy Statements, Managed Account Agreements)
- Ensure account approvals align with client suitability and fully documented investment instructions
Compliance Monitoring & Advisory
- Monitor adherence of Portfolio Managers to policies outlined in the Compliance Manual
- Identify gaps or deficiencies and advise Branch Managers on required updates or missing documentation
- Provide ongoing compliance guidance to Branch Managers and other business units
Communications & Regulatory Support
- Respond to inquiries and requests directed to the Compliance Department related to managed accounts
- Review and approve sales communications for Portfolio Manager teams
- Stay current on regulatory changes, policy updates, and industry developments to ensure continuous compliance
Training & Culture Development
- Provide ongoing assistance and knowledge sharing within the team
- Promote a strong culture of compliance by increasing awareness and understanding of regulatory standards
- Support the development and delivery of training for newly hired Compliance Analysts, as needed
Projects & Team Support
- Assist the Managed Accounts Supervisor/Manager with ad hoc projects and supervision-related initiatives
- Contribute to broader compliance and operational improvement initiatives
- · Is known for their strong analytical skills
- · Stands out for their organization and prioritization skills
- · Demonstrates strong clear and professional communication skills
- · Is recognized for their knowledge of CIRO rules and regulations, and Anit-Money Laundering requirements
- 2-3 years or more directly relevant investment industry experience with a CIRO member firm, preferably within a compliance related role
- Canadian Investment Regulatory Exam (“CIRE”) and Retail Securities Exam and Supervisor Exam, and Minimum two years of relevant experience acceptable to the Corporation.
- Licensed CIRO Supervisor
- Licensed CIRO Supervisor
Location(s)
Montreal / 1981 McGill College AvenueOther Possible Location(s)
Toronto / 26 Wellington Street EastCompany
iA Private Wealth Inc.Posting End Date
2026-07-31Company Overview
iA Financial Group* is the strength of a company with a human side, with its over 8,000 employees. Together, we have earned the trust of our more than four million clients and 25,000 advisors who have chosen us for their insurance, savings, and wealth management.
With over $200 billion in assets and half a billion invested in technological innovation, we’re a key player in the financial services industry in Canada and the United States. The secret to our success? Investing in you, one person at a time. Because, for over 125 years, we have believed that it’s by supporting our employees and surrounding ourselves with the most reputable leaders in the industry, we will continue to innovate.
At iA, we’re invested in you.
* iA Financial group includes of the following entities: iA Services financiers, iA assurance auto et habitation, iA Gestion privée de patrimoine, PPI Management, Investia, iA Gestion de placements, Prysm, iA Clarington, Michel Rhéaume et associés, Garanties Nationales, WGI Manufacturing, WGI Service Plan Division, Lubrico, iA Financement auto
Our Commitment to Diversity and Inclusion
At iA Financial Group, we support and celebrate diversity. We strive to provide a workplace that is recognized as inclusive for all, regardless of ethnic origin, nationality, language, religious beliefs, gender, sexual orientation, age, marital status, family situation, or physical or mental disability.
Please note that if you need help or assistance to make the recruitment process more accessible for you, please Contact us here. Someone from our team will be happy to assist you with your needs.