Compliance officer

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!