Do you want to work for an established and growing Canadian company in our Toronto, Montreal offices?
iA Securities (iAS) is a brokerage firm which offers equities, bonds and pooled investment funds to retail and institutional clients.
Our network of investment advisors/portfolio managers supports and guides clients in their investment decisions. We have a full offering in capital markets: Institutional Sales and Trading, Research and Investment Banking.
A member of iA Financial Group, iAS is led by an experienced team, driven by a desire to serve our clients with professionalism while conducting business in accordance with the highest industry standards.
Reporting to the Director, Complaints and Audit, the Compliance Auditor will be responsible for completing branch reviews of registered branch and sub-branch locations across Canada. The role generally requires the individual to act with a very high level of independence in carrying out their regular duties and administering the Dealer’s branch review program, but may be called upon to assist in other Head Office compliance projects.
• Test for compliance with Dealer policies and procedures and regulatory requirements in accordance with the Dealer’s branch review program.
• Completing reviews of assigned registered locations, including conducting interviews with Branch Managers, Representatives, and their supporting staff.
• Ensure that policies and procedures and supervisory standards are maintained by Branch Managers at assigned branches.
• Ensure adequate training and education is provided to Representatives and their supporting staff with respect to regulatory and Dealer policies and procedures.
• Preparing and issuing branch review reports that document identified issues and working with the Branch Manager and/or Representative to address the noted deficiencies.
• Maintain regular communication with each branch/sub-branch and all associated Representatives following the branch review to ensure that all issues raised in the review are adequately addressed so as to close the review in a timely manner.
• At the request of the Director, Complaints and Audit, provide additional analysis in complex cases, identify potential solutions and make appropriate recommendations to resolve compliance issues.
• Other duties as assigned.
• At least 3-5 years experience in a compliance or branch audit function.
• Strong knowledge of the securities industry, current regulatory rules (IIROC), policies and procedures and industry guidelines as they relate to branch audits and best practices.
• Post secondary degree or diploma in business, finance, economics or other related discipline.
• Completion of the Canadian Investment Funds Course or Canadian Securities Course and Branch Managers Course and/or OPD/PDO is required.
• Excellent oral and written communication skills.
• Exceptional organizational and time management skills and the ability to work independently.
• Working knowledge of Microsoft Word, Excel and Outlook.
• Experience and knowledge of ISM is an asset.
• Bilingual in French and English would be a definite asset.