You are a great communicator and you have excellent relationship skills? You are a natural leader and are great at influencing people? We have an opportunity for you in our iA Private Wealth compliance department! We are currently looking to hire a Director of Compliance – Business Conduct & Tier 1 Supervision to complete our growing team.
This job is responsible for designing and maintaining the Business Conduct & Tier 1 Surveillance Program. This program is for all registered branches across Canada in accordance with regulatory requirements in particular those established by securities regulations and Self-Regulatory Organizations (SROs), including the Investment Regulatory Organization of Canada (IIROC) as well as internal policies and procedures.
As Director Tier 1 Supervision, you’ll be at the core of our mission. Here are the main responsibilities:
Manage a team of three Senior Branch Managers, 40-45 Branch Managers and Branch Administrators
Oversee day-to-day management of system integrity of compliance reporting, product due diligence, regulatory inquiries and support of all compliance areas
Support the Senior Branch Managers and the Branch Managers in servicing the advisors and the branches
Responsible for the branch visit program including supervision of frequency and scheduling
Develop and recommend policy and procedure changes based on regulatory events
Keep abreast of new or proposed regulatory policies and industry trends analyze the impact of these potential changes on our trade surveillance program
Train and develop Tier 1 employee
Draft and distribute Compliance memos
Act as the Compliance subject matter expert on all firm initiatives
Update Policy and Procedures and Forms as needed
· Has 10+ years of relevant securities experience and a Bachelor or College Degree
· Is known for their curiosity and strong leadership skills
· Has experience in dealing with various regulatory organizations including but not limited to IIROC, AMF, OSC and OBSI
· Stands out for their problem solving skills
· Demonstrates strong industry knowledge across a number of products
· Is recognized for their great communication and presentation skills
· Is fluent in French and an advanced level of English are required, as the incumbent will be expected to communicate and deliver presentations on a weekly basis to internal and external clients located across Canada.
· Is available to travel occasionally
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!
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Apply now and get ahead of your career, where your talent really belongs!
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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!
CompanyiA Private Wealth Inc.Posting End Date2026-08-14Company 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.
* iA Financial group includes of the following entities: iA Services financiers, iA assurance auto et habitation, iA Gestion privée de patrimoine, PPI Management, Investia, iA Gestion de placements, Prysm, iA Clarington, Michel Rhéaume et associés, Garanties Nationales, WGI Manufacturing, WGI Service Plan Division, Lubrico, iA Financement auto Our Commitment to Diversity and InclusionAt 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.
iA Financial Group Oakville, Ontario, CAN Office
Oakville, Canada
iA Financial Group Toronto, Ontario, CAN Office
522 University Avenue, Suite 400,, Toronto, Ontario, Canada, M5G 1Y7
iA Financial Group Vaughan, Ontario, CAN Office
Vaughan, Canada
