Job Description

Employer:

iA Private Wealth Inc.

Office:

1981 McGill College Avenue

Location:

Montreal, Quebec

Other Possible Location(s):

Toronto, Ontario

Job category:

Compliance Generalist/Multidiscipline

Job ID:

JR10024275

Job type:

Permanent Job

Apply before:

2025-09-29

Description

---------------

Sector: iA Private Wealth

Location: Toronto or Montreal

Language: French & English both written and verbal communication required

Work Environment: Hybrid - In Office on Thursdays

The Compliance Officer will establish and nurture strong professional relationships with Branch Managers and Investment Advisors, ensuring strict adherence to regulatory and firm compliance standards and serving as a key point of contact and collaboration. It involves meeting daily regulatory obligations. Responding to queries received from our business partners, ensuring effective communication and resolution. Additionally, this role includes actively participating in ad hoc projects.

Your Day to Day

Reviewing and analyzing daily Tier 2 transactions and non-transaction operations Analyzing and performing a monthly review of account statements Advising branch managers when updates are required, or documents are missing Responding to various email requests made to the Compliance Department Providing compliance support to Branch Managers & other business divisions Reviewing Sales Communications for Advisory Network Validating the qualifications of Accredited Investors Approving Outside Activities for Advisory Network Participating in various supervision related tasks and ad hoc projects Keeping abreast of changes in regulatory requirements and industry updates from relevant regulatory bodies to ensure that the organization is consistently compliant. Fostering a culture of compliance within the organization, working closely with internal teams to promote awareness and understanding of compliance standards for retail accounts Providing training and on-going assistance to new hired Compliance Officers

What You Have

Advanced knowledge of French due to reviewing and responding to correspondence from internal and external stakeholders on a daily basis. 2-3 years or more directly relevant investment industry experience with a CIRO member firm, preferably within a compliance related role The Canadian Securities Course, Conduct & Practices Handbook Course, Investment Dealer Supervisor Course & Knowledge of the securities industry (or be willing to obtain these upon hire) Licensed CIRO Supervisor Knowledge of CIRO Policies and Procedures Knowledge of AML (Anti-Money Laundering) Policies Basic knowledge of the securities market regulatory framework Analytical skills Organization and prioritization skills Proficient in MS Office (Outlook, Word, Access, Excel, PowerPoint) College diploma (DEC in Quebec) or University degree/ 5 or more years relevant industry experience

Invest in your talent by joining our team

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See why so many people choose iA!

Company Overview

--------------------


iA Financial Group is the strength of a company with a human side, with its over 10,000 employees. Together, we have earned the trust of our more than five million clients and 50,000 advisors who have chosen us for their insurance, savings, and wealth management.



With over $235 billion in assets, 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 130 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.

Our commitment to Diversity and Inclusion

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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, write to us. Someone from our team will be happy to assist you.

Location: Toronto or Montreal

Language: French & English both written and verbal communication required

Work Environment: Hybrid - In Office on Thursdays

The Compliance Officer will establish and nurture strong professional relationships with Branch Managers and Investment Advisors, ensuring strict adherence to regulatory and firm compliance standards and serving as a key point of contact and collaboration. It involves meeting daily regulatory obligations. Responding to queries received from our business partners, ensuring effective communication and resolution. Additionally, this role includes actively participating in ad hoc projects.

Your Day to Day

Reviewing and analyzing daily Tier 2 transactions and non-transaction operations Analyzing and performing a monthly review of account statements Advising branch managers when updates are required, or documents are missing Responding to various email requests made to the Compliance Department Providing compliance support to Branch Managers & other business divisions Reviewing Sales Communications for Advisory Network Validating the qualifications of Accredited Investors Approving Outside Activities for Advisory Network Participating in various supervision related tasks and ad hoc projects Keeping abreast of changes in regulatory requirements and industry updates from relevant regulatory bodies to ensure that the organization is consistently compliant. Fostering a culture of compliance within the organization, working closely with internal teams to promote awareness and understanding of compliance standards for retail accounts Providing training and on-going assistance to new hired Compliance Officers

What You Have

Advanced knowledge of French due to reviewing and responding to correspondence from internal and external stakeholders on a daily basis. 2-3 years or more directly relevant investment industry experience with a CIRO member firm, preferably within a compliance related role The Canadian Securities Course, Conduct & Practices Handbook Course, Investment Dealer Supervisor Course & Knowledge of the securities industry (or be willing to obtain these upon hire) Licensed CIRO Supervisor Knowledge of CIRO Policies and Procedures Knowledge of AML (Anti-Money Laundering) Policies Basic knowledge of the securities market regulatory framework Analytical skills Organization and prioritization skills Proficient in MS Office (Outlook, Word, Access, Excel, PowerPoint) College diploma (DEC in Quebec) or University degree/ 5 or more years relevant industry experience

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