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:

  • 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!

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