At a Glance
- Tasks: Lead a dynamic team in compliance and surveillance across Canada.
- Company: Join iA Private Wealth, a leader in financial services with a human touch.
- Benefits: Enjoy flexible work, competitive salary, and comprehensive benefits including wellness days.
- Other info: Inclusive culture focused on growth and innovation.
- Why this job: Make a real impact in compliance while developing your leadership skills.
- Qualifications: 10+ years in securities, strong leadership, and bilingual in French and English.
The predicted salary is between 130000 - 160000 $ per year.
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, particularly 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.
What you’ll accomplish with us
- 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 employees.
- Draft and distribute Compliance memos.
- Act as the Compliance subject matter expert on all firm initiatives.
- Update Policy and Procedures and Forms as needed.
What could accelerate your success in this role
- 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 has an advanced level of English, 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!
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.
Location(s): Montreal / 1981 McGill College Avenue; Other Possible Location(s): Toronto / 26 Wellington Street East.
Company: iA Private Wealth Inc.
Company 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.
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.
Director Tier 1 Supervision in Toronto employer: iA Financial Group
iA Financial Group is an exceptional employer that fosters a dynamic work culture focused on growth and performance. With a commitment to employee development, you will have access to extensive training programs and leadership opportunities, all while working in a collaborative environment that values accountability and top-tier customer service across Canada. Join us and be part of a team that not only drives success but also prioritizes your professional journey.
