Compliance officer
iA Financial Group (Industrial Alliance)
Date: 1 day ago
City: Montreal, QC
Contract type: Full time

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:
At iA, we believe in empowering our people. You’ll benefit from:
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
- 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
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
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