Associate Director, Sales Communication - Compliance

Montreal

Offre publiée le 2024-06-26

iA Financial Group

  • Employer : iA Private Wealth Inc.
  • Office : 2200 McGill College Avenue
  • Job category : Compliance Generalist / Multidiscipline

iA Private Wealth / Permanent / Montreal, Quebec or Toronto / French & English

iA Private Wealth offers customized wealth management solutions through a network of over 500 teams of independent investment advisors.

With over $48 billion in assets under administration, we are the partner of choice for discerning investors across Canada.

As a member of iA Financial Group, iA Private Wealth is led by an experienced team driven by the desire to serve our advisors and their clients with professionalism, while adhering to the most rigorous industry standards.

The A ssociate Director Sales Communication will oversee the firm’s compliance with rules and regulations related to sales and marketing communications.

This role will ensure that all communications align with regulatory requirements and are fair, balanced, and not misleading.

In this position, you will work closely with partners across iA Private Wealth Compliance team, Senior Management, the Legal Department, regulatory contacts, as well as other external stakeholders.

In addition, you will provide support to the Director, Business Conduct and Tier 1 Supervision on matters concerning to adhering to legal and industry-specific guidelines when communication information about products or services to the public.

This role will recommend and implement necessary changes and improvements related to sales compliance activities, processes, and platforms.

It will also be responsible for all HR related matters, including : coaching, performance management, establishing goals and objectives for a team professional level employees.

Key Responsibilities :

Regulatory Compliance : Stay current with regulations that oversee and enforce rules. Understand and apply rules from the Canadian Investment Regulatory Organization.

Coordinate different activities performed by the team (email surveillance, social media review, Approvals, Advisor Stream, Iconic, CQ5, addressing potential violations of regulatory requirements, etc.

Ensure that complete records are maintained for future examination by the Regulators and Internal Audit team

Adherence to Updated Rules : Minimize legal risks by understanding current and proposed legislation, enforcing regulations, recommending new procedures, and complying with regulatory and legal requirements

Oversee day-to-day execution of work activities and provide support where possible through direct or delegated actions

Promote continuous learning , knowledge management and support cross-training initiatives in Compliance Sales Communications team

Guide and Influence senior leaders : grasp their concerns, and objectives. Tailor your communication and guidance to align with their priorities

Participate in special projects requiring input and expertise (Sales Communication Portal, marketing initiatives etc..)

Qualifications :

Bachelor’s degree in Finance, Business, or Communications

Recent (non-expired) course completions of the Canadian Securities Course (CSC) the Conduct and Practices Handbook (CPH) and the Branch Managers Course

Minimum of 5 years of experience in a management role

10 years of relevant experience in Compliance, Communications or Sales Practices

Excellent knowledge of French and English, both oral and written, due to frequent interactions with internal colleagues and Francophone and Anglophone partners across Canada.

Excellent communication and interpersonal skills.

Strong analytical and problem-solving skills.

Able to recognize and handle sensitive and confidential information.

Strong analytical skills and keen eye for detail.

Able to handle multiple tasks simultaneously and meet strict deadlines.

Ability to take initiative and work independently.

Ability to meet deadlines.

Advanced computer skills in the MS Office Suite (Microsoft word, Excel, Project, PowerPoint).

Highly analytical with continuous process improvement mindset.

Our employees are our best investment and we have much to offer them.

Company Overview

About

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 50,000 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.

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30+ days ago