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Regulatory Compliance Officer
* 12 months contract role *
Build the future with us
Are you motivated by regulatory compliance, sound risk management and the opportunity to help clients feel confident and secure about their future? As a Regulatory Compliance Officer, you will play a key role in supporting dealer teams, interpreting regulatory requirements and guiding business partners on complex matters that require practical, well-reasoned advice.
This opportunity will allow you to leverage your regulatory expertise, judgment and collaborative approach within an organization where people, trust and responsible business practices are central to how we work.
What you will accomplish with us
As a Regulatory Compliance Officer, you will be at the heart of our regulatory compliance activities.
Your main responsibilities will include:
· Project Responsibility: Lead certain important projects assigned to the regulatory compliance team and involve necessary partners.
· Policy and Procedure Improvement and Drafting: Improve and draft policies, procedures, and memos.
· Training Development: Use advanced knowledge and expertise to develop training for employees based on the organization's business issues.
· Continuous Improvement: Participate in the continuous improvement of processes and practices.
Personal Information Protection:
· Investigate privacy incidents and lead follow-up meetings.
· Complete incident reports.
· Advise teams on personal information protection issues and draft quarterly and annual reports.
· Conduct complex investigations into anti-money laundering and terrorist financing activities.
· Investigate politically exposed persons and maintain the AML & PEP register.
· Participate in internal audits and AML training management.
Referral and Distribution Agreements:
· Analyze and review requests and agreements.
· Maintain agreement records and respond to annual questionnaires.
· Analyze and review service agreements, and participate in annual meetings.
· Negotiate clauses with third parties and maintain records.
What could accelerate your success in this role
Why you’ll love working with us
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!
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.
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.