You are a great communicator and you have excellent relationship skills? You are a natural leader and are great at influencing people? We have an opportunity for you in our iA Private Wealth compliance department! We are currently looking to hire a Director of Compliance – Business Conduct & Tier 1 Supervision to complete our growing team.
This job is responsible for designing and maintaining the Business Conduct & Tier 1 Surveillance Program. This program is for all registered branches across Canada in accordance with regulatory requirements in particular those established by securities regulations and Self-Regulatory Organizations (SROs), including the Investment Regulatory Organization of Canada (IIROC) as well as internal policies and procedures.
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As Director Tier 1 Supervision, you’ll be at the core of our mission. Here are the main responsibilities:
Manage a team of three Senior Branch Managers, 40-45 Branch Managers and Branch Administrators
Oversee day-to-day management of system integrity of compliance reporting, product due diligence, regulatory inquiries and support of all compliance areas
Support the Senior Branch Managers and the Branch Managers in servicing the advisors and the branches
Responsible for the branch visit program including supervision of frequency and scheduling
Develop and recommend policy and procedure changes based on regulatory events
Keep abreast of new or proposed regulatory policies and industry trends analyze the impact of these potential changes on our trade surveillance program
Train and develop Tier 1 employee
Draft and distribute Compliance memos
Act as the Compliance subject matter expert on all firm initiatives
Update Policy and Procedures and Forms as needed
- Has 10+ years of relevant securities experience and a Bachelor or College Degree
- Is known for their curiosity and strong leadership skills
- Has experience in dealing with various regulatory organizations including but not limited to IIROC, AMF, OSC and OBSI
- Stands out for their problem solving skills
- Demonstrates strong industry knowledge across a number of products
- Is recognized for their great communication and presentation skills
- Is fluent in French and an advanced level of English are required, as the incumbent will be expected to communicate and deliver presentations on a weekly basis to internal and external clients located across Canada.
- Is available to travel occasionally
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!
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Apply now and get ahead of your career, where your talent really belongs!
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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 want to get to know you!
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The typical hiring range for this position is between 130 000$ and 160 000$ CAD per year + bonus ; the base salary offered may vary depending on knowledge, skills, years of experience, and internal equity related to the role. At iA, we are committed to offering a fair, equitable, and market-based compensation structure. Our market data is updated annually to reflect the most current market conditions.
