Compliance Officer

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Job Description Compliance Officer ______________________________________________________________________________ Build the future with us Are you eager to contribute to the purpose of a company that aims to help its clients feel confident and secure about their future? As a Compliance Officer, you will play a key role in establishing and nurturing strong professional relationships with Branch Managers and Portfolio Manager teams, ensuring strict adherence to regulatory and firm compliance standards. This position is a great opportunity to showcase your skills and fully realize your potential within a caring and trustworthy company. Here, people and their development are at the heart of our priorities, fostering an environment that encourages collaboration and innovation. _____________________________________________________________________________ What you'll accomplish with us As a Compliance Officer, you'll be at the core of our mission. Here are the main responsibilities: Account Review & Transaction Oversight Review and analyze daily Tier 2 transactions and non-transactional activities, Assess new account documentation for the Managed Program (e.g., Investment Policy Statements, Managed Account Agreements) Ensure account approvals align with client suitability and fully documented investment instructions Compliance Monitoring & Advisory Monitor adherence of Portfolio Managers to policies outlined in the Compliance Manual Identify gaps or deficiencies and advise Branch Managers on required updates or missing documentation Provide ongoing compliance guidance to Branch Managers and other business units Communications & Regulatory Support Respond to inquiries and requests directed to the Compliance Department related to managed accounts Review and approve sales communications for Portfolio Manager teams Stay current on regulatory changes, policy updates, and industry developments to ensure continuous compliance Training & Culture Development Provide ongoing assistance and knowledge sharing within the team Promote a strong culture of compliance by increasing awareness and understanding of regulatory standards Support the development and delivery of training for newly hired Compliance Analysts, as needed Projects & Team Support Assist the Managed Accounts Supervisor/Manager with ad hoc projects and supervision-related initiatives Contribute to broader compliance and operational improvement initiatives ______________________________________________________________________________ What could accelerate your success in this role We're looking for someone who: - Is known for their strong analytical skills - Stands out for their organization and prioritization skills - Demonstrates strong clear and professional communication skills - Is recognized for their knowledge of CIRO rules and regulations, and Anit-Money Laundering requirements 2-3 years or more directly relevant investment industry experience with a CIRO member firm, preferably within a compliance related role Canadian Investment Regulatory Exam ("CIRE") and Retail Securities Exam and Supervisor Exam, and Minimum two years of relevant experience acceptable to the Corporation. Licensed CIRO Supervisor Licensed CIRO Supervisor ______________________________________________________________________________ Why you'll love working with us - A work environment where learning and development merge with a collective pursuit of excellence; - A healthy, safe, fair, and inclusive environment where potential can be freely expressed and developed; - The opportunity to work in a hybrid environment, supported by flexibility and access to inspiring and innovative workspaces; - Competitive benefits: Flexible group insurance, competitive pension plan, stock purchase plan, vacation and wellness/personal development days, telemedicine, employee and family assistance program, ergonomic furniture program, performance bonus, discounts on iA products, and much more! ______________________________________________________________________________ Apply now and get ahead of your career, where your talent really belongs! ______________________________________________________________________________ Still unsure about applying? At iA, we believe in potential and value diverse experiences. If this role inspires you, go ahead and apply - your place might be with us, and we want to get to know you! Location(s) Montreal / 1981 McGill College Avenue Other Possible Location(s) Toronto / 26 Wellington Street East Company iA Private Wealth Inc. Posting End Date 2026-07-31 Company Overview iA Financial Group* is the strength of a company with a human side, with its over 8,000 employees. Together, we have earned the trust of our more than four million clients and 25,000 advisors who have chosen us for their insurance, savings, and wealth management. With over $200 billion in assets and half a billion invested in technological innovation, we're a key player in the financial services in

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