Branch Review Compliance Officer

iA Financial Group (Industrial Alliance); Vancouver; Hybrid; CAD 58,000 - 108,000; Full time

Benefits offered by this job

Flexible group insurance plans

Competitive retirement savings plan

Employee share purchase plan

Vacation and wellness days

Telemedicine services

Employee Assistance Program

Ergonomic furniture program

Performance bonus program

Discounts on iA products

Job summary

iA Financial Group is seeking a Branch Review Compliance Officer to lead branch reviews, identify compliance gaps, and coach teams toward stronger practices across regions. You will craft insightful reports connecting issues to risks and client impact while guiding timely corrective actions.

Ideal candidates bring 3–5+ years in registrant audit, a business/finance/economics degree, and CIRO/CSI certifications or eagerness to obtain them.

Qualifications

• Three to five or more years of experience in registrant audit functions.
• Post-secondary degree in business, finance, economics, or related field.
• CIRO or CSI certifications or motivation to obtain them.
• Strong organizational skills and ability to manage own schedule.

Responsibilities

• Lead branch reviews and identify compliance gaps, translating findings into actionable improvements.
• Educate and coach representatives to strengthen consistent compliance practices across regions.
• Prepare clear reports linking issues to business risk and client impact, guiding corrective actions.
• Collaborate with Audit Team Leaders and Regional Compliance Leaders to resolve problems and propose practical solutions.
• Build trusted relationships with representatives and address resistance with constructive dialogue.

Skills

Autonomy

Ownership

Auditing

Communication

Travel 50%

Education

Business/Finance/Economics degree

Tools

MS Word

MS Excel

Outlook

Teams

Job description

Build the Future With Us

Are you passionate about regulatory compliance and eager to contribute to an organization whose purpose is to help clients feel confident and secure about their future?

Description

Are you passionate about regulatory compliance and eager to contribute to an organization whose purpose is to help clients feel confident and secure about their future?

As a Branch Review Compliance Officer, you will play a key role in conducting branch reviews, identifying opportunities for improvement, and supporting representatives and their teams in strengthening their compliance practices. Through your work, you will help protect clients’ interests, promote high standards, and reinforce compliance as a strategic contributor to the organization’s success.

This position offers an excellent opportunity to showcase your audit expertise, mutual fund industry knowledge, sound judgment, and coaching abilities while fully realizing your potential within an organization that values high performance, learning agility, inspired teams, and client centricity. You will join a team that is modernizing its ways of working through a digital approach, lean methodology, new dashboards, and the continued integration of artificial intelligence.

What You Will Accomplish With Us

• Leading branch reviews, identifying compliance gaps, translating findings into actionable improvements, and verifying that the required corrective measures have been implemented;
• Educating and coaching representatives and their staff to turn branch reviews into learning opportunities and strengthen the consistency of compliance practices across regions;
• Preparing clear, constructive, and insightful reports that connect identified issues to business risks and client impacts while guiding timely and tangible corrective actions;
• Partnering with Audit Team Leaders and Regional Compliance Leaders to analyze situations, resolve problems, and recommend practical and creative solutions;
• Building trusted relationships with representatives through active listening, direct communication, and a collaborative approach, particularly when addressing reluctance or resistance;
• Supporting special Head Office projects that help shape how compliance enables the organization’s growth;

What Could Help Accelerate Your Success In This Role

• Is recognized for their autonomy, sense of ownership, and ability to conduct branch reviews independently while collaborating effectively with auditors, coaches, and leaders;
• Stands out for their in-depth knowledge of the mutual fund industry and their experience in registrant audit functions;
• Demonstrates excellent oral and written communication skills that support collaboration, coaching, and problem-solving;
• Is known for their ability to build trust, engage representatives in productive dialogue, and communicate the strategic value of compliance;
• Possesses three to five or more years of experience in registrant audit functions;
• Holds a post-secondary degree in business, finance, economics, or a related field;
• Holds CIRO or CSI certifications or is motivated to obtain them;
• Demonstrates a self-starter mindset, strong organizational skills, and the ability to manage their own schedule;
• Is comfortable travelling approximately 50% of the time throughout Western Canada;
• Is proficient with Microsoft Word, Excel, Outlook, and Teams and demonstrates curiosity about new systems;

Why You’ll Love Working With Us

• A work environment where learning and development are combined with a collective pursuit of excellence;
• Artificial intelligence tools are available to everyone, helping increase personal efficiency and support organizational growth;
• A healthy, safe, equitable, and inclusive workplace where individuals can freely express and develop their full potential;
• The opportunity to work in a hybrid environment, supported by flexibility and access to inspiring and innovative workspaces;

Competitive Benefits Package

• Flexible group insurance plans;
• Competitive retirement savings plan;
• Employee share purchase plan;
• Vacation program and wellness and personal development days;
• Telemedicine services;
• Employee and Family Assistance Program;
• Ergonomic furniture program;
• Performance bonus program;
• Discounts on iA products;
• And much more!;

The typical hiring range for this position is 58 422$ to 108 422$ CAD per year. The offered base salary may vary depending on factors such as job-related knowledge, skills, years of experience, and internal equity. At iA, we are committed to providing a fair, equitable, and market-based compensation structure. Our market data is updated annually to reflect the most current market conditions.