Are you an experienced compliance professional with a strong understanding of CIRO regulations?
At iA Financial Group, we are looking for a dedicated Compliance Supervisor – Retail to join our dynamic team. Reporting to the Manager of Compliance – Retail, you’ll play a key role in ensuring regulatory excellence and supporting our advisory network across Canada.
Key responsibilities include:
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
Following up on the various requests made by the Compliance Department
Providing compliance support to Branch Managers & other business divisions
Review Sales Communications for Advisory Network
Validation of the qualification of Accredited Investor
Skills you bring to the role:
5+ years of relevant industry experience
CIRO Supervisor license and strong knowledge of CIRO policies
Familiarity with AML (Anti-Money Laundering) policies and the Canadian securities regulatory framework
The Canadian Securities Course, Conduct & Practices Handbook Course, Branch Manager Course & Knowledge of the securities industry (an asset)
Bilingualism (English/French) is a mandatory requirement due to frequent interactions with English and French speaking colleagues, internal partners and clients across Canada
Strong analytical and organizational skills
What makes iA a great place to work?
At iA, we believe in empowering our people. You’ll benefit from:
A collaborative and inclusive work environment
Flexible and work/life balance
Opportunities for professional growth and development
A company culture that values innovation, integrity, and work-life balance
Join a company that’s shaping the future of financial services in Canada. Apply today and grow your career with iA!
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.
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, please Contact us here. Someone from our team will be happy to assist you with your needs.