Job Description

Description
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!

Job Tags

Flexible hours,

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Compliance Officer Job at iA Financial Group (Industrial Alliance), Montréal, QC

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