Compliance Officer (18 month contract) at iA Groupe financier iA Financial Group

Montréal, QC, Canada -

Full Time

Start Date

Immediate

Expiry Date

25 Nov, 25

Salary

0.0

Posted On

26 Aug, 25

Experience

2 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Powerpoint, French, Aml, Investors, Excel, Canadian Securities Course, English, Anti Money Laundering, Analytical Skills, Access, Outlook

Industry

Financial Services

Description

EDUCATION/WORK EXPERIENCE/DESIGNATIONS

2-3 years or more directly relevant investment industry experience with a CIRO member firm, preferably within a compliance related role
Licensed CIRO Supervisor
Knowledge of CIRO Policies and Procedures
Knowledge of AML (Anti-Money Laundering) Policies
Basic knowledge of the securities market regulatory framework
Analytical skills
Organization and prioritization skills
Proficient in MS Office (Outlook, Word, Access, Excel, PowerPoint)
Bilingual (English/French) required

EDUCATION AND ACCREDITATIONS

College diploma (DEC in Quebec) or University degree/ 5 or more years relevant industry experience
The Canadian Securities Course, Conduct & Practices Handbook Course, Investment Dealer Supervisor Course & Knowledge of the securities industry (requirement)
Level of knowledge advanced French language as the person will be required to work with investors and advisors in English and French on daily basis.

How To Apply:

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Responsibilities

Reviewing and analyzing Tier 2 transactions and non-transaction operations
Advising branch managers when updates are required, or documents are missing
Responding to various email requests made to the Compliance Department
Providing compliance support to Branch Managers & other business divisions
Reviewing Sales Communications for Advisory Network
Validating the qualifications of Accredited Investors
Approving Outside Activities for Advisory Network
Participating in various supervision related tasks and ad hoc projects
Keeping abreast of changes in regulatory requirements and industry updates from relevant regulatory bodies to ensure that the organization is consistently compliant.
Fostering a culture of compliance within the organization, working closely with internal teams to promote awareness and understanding of compliance standards for retail accounts
Providing training and on-going assistance to new hired Compliance Officers