Job Description

Employer:

Investia Financial Services Inc.

Office:

1080, Grande Allee West

Location:

Quebec, Quebec

Other Possible Location(s):

Montreal, Quebec; Toronto, Ontario

Job category:

Compliance Generalist/Multidiscipline

Job ID:

JR10024383

Job type:

Permanent Job

Apply before:

2025-11-10

Description

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

Reporting directly to the Assistant Director of Compliance

, the incumbent is primarily responsible for tasks and reports related to the full registration and onboarding process of new Mutual Fund Advisors. The incumbent is encouraged to become a key resource in their areas of responsibility, both for the team and other departments. They are expected to mentor less experienced colleagues. Their enthusiasm and positive attitude should inspire and contribute to the team's success.

Key Responsibilities:

Manage supervision files for Advisors, update databases, and follow up with Advisors, internal partners, and regulatory authorities. Oversee the verification process for outside business activities, including receipt, due diligence, escalation, and disclosure to regulatory authorities. Provide direct and effective support and communication with Advisors, internal teams, external partners (fund companies, various providers), and regulatory bodies. Contribute to the review, drafting, implementation, and updating of procedures and documents used by the team and Advisors. Lead special projects as assigned by the Assistant Director of Compliance and/or the Compliance Supervisor responsible for Advisor oversight.

Compliance and Operational Excellence:

Master the use of the National Registration Database (NRD) to manage assigned processes, support team members, and contribute to broker-dealer projects. Communicate effectively with Advisors and internal partners, especially Sales teams (RVPs, Head Office), commissions, and others to deliver quality work on time. Build and maintain a network of internal and external contacts (regulatory authorities, fund companies, etc.) to facilitate project execution and resolve specific situations. Initiate and successfully lead new projects beyond those assigned. Support team members in their tasks and be cross-trained in other team responsibilities (multi-tasking approach). Actively participate in the daily continuous improvement process (Lean management principles) and propose innovations to improve results and achieve objectives.

What Will Help You Succeed in This Role:

Curiosity and open-mindedness Strong organizational skills and attention to follow-ups and reporting Ability to work under pressure and adapt to changing requirements Proven customer service talent Flexibility and strong teamwork skills Proficiency in Microsoft Office Suite Knowledge of the mutual fund industry and completion of the mutual fund course are assets Willingness to complete the mutual fund course within the first year of employment Excellent verbal and written communication skills in both French and English, due to frequent interactions with bilingual colleagues and partners across Canada Good knowledge of the Univeris back-office system Strong attention to detail is essential

Why You'll Love Working With Us:

A work environment where learning and development merge with a collective pursuit of excellence A healthy, safe, fair, and inclusive workplace where your potential can thrive A hybrid work model supported by flexibility and access to inspiring, innovative workspaces Competitive benefits: Flexible group insurance, a strong pension plan, employee share purchase plan, vacation and wellness/personal development days, telemedicine, employee and family assistance program, ergonomic furniture program, performance bonus, discounts on iA products, and more!

and take charge of your career--where your talent truly matters!

Still unsure about applying?

At iA, we believe in potential and value diverse experiences. If this role inspires you, go ahead and apply--your place might be with us, and we'd love to get to know you!

Get ahead of your career, where your talent belongs

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


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

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

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.


, the incumbent is primarily responsible for tasks and reports related to the full registration and onboarding process of new Mutual Fund Advisors. The incumbent is encouraged to become a key resource in their areas of responsibility, both for the team and other departments. They are expected to mentor less experienced colleagues. Their enthusiasm and positive attitude should inspire and contribute to the team's success.

Key Responsibilities:

Manage supervision files for Advisors, update databases, and follow up with Advisors, internal partners, and regulatory authorities. Oversee the verification process for outside business activities, including receipt, due diligence, escalation, and disclosure to regulatory authorities. Provide direct and effective support and communication with Advisors, internal teams, external partners (fund companies, various providers), and regulatory bodies. Contribute to the review, drafting, implementation, and updating of procedures and documents used by the team and Advisors. Lead special projects as assigned by the Assistant Director of Compliance and/or the Compliance Supervisor responsible for Advisor oversight.

Compliance and Operational Excellence:

Master the use of the National Registration Database (NRD) to manage assigned processes, support team members, and contribute to broker-dealer projects. Communicate effectively with Advisors and internal partners, especially Sales teams (RVPs, Head Office), commissions, and others to deliver quality work on time. Build and maintain a network of internal and external contacts (regulatory authorities, fund companies, etc.) to facilitate project execution and resolve specific situations. Initiate and successfully lead new projects beyond those assigned. Support team members in their tasks and be cross-trained in other team responsibilities (multi-tasking approach). Actively participate in the daily continuous improvement process (Lean management principles) and propose innovations to improve results and achieve objectives.

What Will Help You Succeed in This Role:

Curiosity and open-mindedness Strong organizational skills and attention to follow-ups and reporting Ability to work under pressure and adapt to changing requirements Proven customer service talent Flexibility and strong teamwork skills Proficiency in Microsoft Office Suite Knowledge of the mutual fund industry and completion of the mutual fund course are assets Willingness to complete the mutual fund course within the first year of employment Excellent verbal and written communication skills in both French and English, due to frequent interactions with bilingual colleagues and partners across Canada Good knowledge of the Univeris back-office system Strong attention to detail is essential

Why You'll Love Working With Us:

A work environment where learning and development merge with a collective pursuit of excellence A healthy, safe, fair, and inclusive workplace where your potential can thrive A hybrid work model supported by flexibility and access to inspiring, innovative workspaces Competitive benefits: Flexible group insurance, a strong pension plan, employee share purchase plan, vacation and wellness/personal development days, telemedicine, employee and family assistance program, ergonomic furniture program, performance bonus, discounts on iA products, and more!

and take charge of your career--where your talent truly matters!

Still unsure about applying?

At iA, we believe in potential and value diverse experiences. If this role inspires you, go ahead and apply--your place might be with us, and we'd love to get to know you!


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