Compliance Officer

Job Description

Compliance Officer

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 Compliance Officer, you will play a key role in establishing and nurturing strong professional relationships with Branch Managers and Portfolio Manager teams, ensuring strict adherence to regulatory and firm compliance standards.

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.

What you’ll accomplish with us

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.

Accelerate Your Success in this Role

We’re looking for someone who:

• is known for strong analytical skills.
• stands out for organization and prioritization skills.
• demonstrates clear and professional communication skills.
• is recognized for knowledge of CIRO rules and regulations and Anti-Money Laundering requirements.

Qualifications

• 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; minimum two years of relevant experience acceptable to the Corporation.
• Licensed CIRO Supervisor.

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 environment where potential can be freely expressed and developed.
• The opportunity to work in a hybrid environment, supported by flexibility and access to inspiring and innovative workspaces.
• Competitive 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, and much more.

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.