Compliance Coordinator

Job Description

Purpose of Job:

The Compliance Coordinator will provide comprehensive support to the Chief Compliance Officer and collaborate with Directors and Senior Directors within the department. The Compliance Coordinator is responsible for the development and implementation of processes to optimize the functioning of the department’s administration and operations.

This role requires a highly organized individual capable of working independently on projects and initiatives, anticipating needs, and preparing necessary documentation. The ideal candidate will have experience in a Compliance department and a strong understanding of the urgency and confidentiality required in this field.

Key Responsibilities:

• Support the CCO and VP iAPW (20%)

  • Provide one-on-one administrative and project support

  • Manage the VP’s calendar, schedule meetings, and coordinate travel arrangements

  • Prepare for meetings and calls, and create procedure workflows

  • Monitor the budget and expenses of the department (regulier)

  • Communicate with the regulatory authorities on behalf of the Chief Compliance Officer on certain occasions

• Project Coordination (30-40%)

  • Independently track and coordinate compliance initiatives ensuring timely completion of milestones

  • Be able to develop moderately complex project plans

  • Support the management team in putting in place operations processes for the department

• Documentation and Reporting

  • Prepare, review, and maintain spreadsheets, reports, and other support documentation

  • Assist in the preparation of compliance reports and presentations for senior management

  • Ensure all compliance documentation is accurate, up-to-date, and accessible in a format that respects rules on confidential information

• Collaboration and Communication (30%)

  • Work closely with Directors and Senior Directors to support compliance initiatives

  • Facilitate communication between the Chief Compliance Officer and other departments

  • Participate in IT initiatives

  • Coordinate and participate in compliance meetings, taking minutes and following up on action items

  • Collaborating with various internal teams across iAPW

  • With the Senior Compliance Officer, Governance and Risk Management, coordinate testing and do follow-ups for iAPW’s Business Continuity Plan

• Securities Best Practices Expertise

  • Communicate with industry stakeholders on best practices regarding compliance processes

  • Stay updated on industry best practices changes

Education/Work Experience/Designations

Qualifications:

• At least 5 to 7 years or more relevant experience in a coordination role in the financial sector, preferably in compliance or regulatory matters; other relevant experience

• Proven ability to manage multiple projects and meet deadlines

• Good understanding of the securities regulatory landscape and its stakeholders in Canada

• Strong organizational and time management skills

• Work experience to assist Project managers

• Strong judgment and critical thinking skills

• Ability to work independently and anticipate needs

• High level of integrity and confidentiality

• Comfortable with technology and software systems, preferably in compliance

• Proficient in Microsoft Office Suite (Word, Excel, PowerPoint)

• Advanced knowledge of English and French

Preferred Qualifications:

• Superior problem-solving skills, with a detail-oriented approach to task execution

• Strong written communication skills and ability to take detailed and accurate notes

• Strong active listening skills and ability to communicate complex information clearly and concisely

• Ability to learn, understand, and apply new information quickly

• Ability to thrive on a highly collaborative team

Working Conditions:

• Full-time position.

• Occasional travel may be required.

• Hybrid working but should be available to come to office for Key Moments, Special Projects, Collaboration events

• Ability to work in a fast-paced environment and handle high-pressure situations

Location(s)Toronto / 26 Wellington Street East (37.5 Hrs)

Other Possible Location(s)
CompanyiA Private Wealth Inc.

Posting End Date2025-01-27

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 industry in Canada and the United States. The secret to our success? Investing in you, one person at a time. Because, for over 125 years, we have believed that it’s by supporting our employees and surrounding ourselves with the most reputable leaders in the industry, we will continue to innovate.

At iA, we’re invested in you.

Our Commitment to Diversity and Inclusion

At iA Financial Group, we support and celebrate diversity. We strive to provide a workplace that is recognized as inclusive for all, regardless of ethnic origin, nationality, language, religious beliefs, gender, sexual orientation, age, marital status, family situation, or physical or mental disability.

Please note that if you need help or assistance to make the recruitment process more accessible for you, please Contact us here. Someone from our team will be happy to assist you with your needs.