Compliance Officer (18 month contract)

• Employer: iA Private Wealth Inc.
• Office: 1981 McGill College Avenue
• Location: Montreal, Quebec
•  Other Possible Location(s): Toronto, Ontario 
• Job category: Compliance Generalist/Multidiscipline
• Job ID: JR10024080
• Job type: Temporary Job
• Apply before: 2025-09-22

Description

Key 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
  
  

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.