Chief Compliance Officer

iA Financial Group (Industrial Alliance); Quebec; Hybrid; CAD 120,000 - 180,000; Full time

Benefits offered by this job

Flexible benefits

Hybrid work environment

Retirement savings plan

Employee share purchase

Wellness days / health programs

Job summary

iA Financial Group is seeking a senior compliance leader to design, implement, and maintain the compliance framework for iAGAM. The role monitors processes, employees, and investment activities to identify and mitigate regulatory risks while aligning with corporate standards.

You will lead a team, develop policies, report to governance bodies, and partner with Legal Services to interpret securities regulations for Canadian and Quebec markets. A hybrid work model is offered.

Qualifications

• Significant experience in a senior compliance role within an asset management or securities organization.
• Excellent knowledge of securities regulation for Canada and Quebec.
• Experience managing compliance policies, controls and frameworks.
• Knowledge of surveillance tools and regulatory reporting systems.
• Courses: CSC, PDSO, CCQ; CFA is an asset.

Responsibilities

• Oversee governance and supervision of iAGAM's compliance function.
• Develop, maintain and update compliance policies and procedures.
• Provide reporting to governance bodies and escalate matters to the UDP/Board as needed.
• Coordinate with Legal Services to interpret regulations and advise business lines.
• Support investment teams with compliant, pragmatic solutions balancing objectives and regulatory requirements.
• Improve controls, monitoring and governance through technology and data.

Skills

Senior compliance

Asset management knowledge

Regulatory knowledge

Leadership

French proficiency

Bloomberg/compliance tools

Education

University degree in finance/accounting/economics/law

Tools

Bloomberg

Job description

Build the future with us

The incumbent is responsible for designing, implementing and maintaining iAGAM's compliance framework to ensure compliance with securities legislation. The role continuously monitors and assesses iAGAM's activities, representatives and employees to identify, prevent and address non-compliance risks. The incumbent also ensures that iAGAM's activities comply with internal policies and procedures, while keeping the organization's practices aligned with leading industry standards and regulatory expectations.

What you'll accomplish with us?

Governance and compliance system

• Lead the oversight and supervision of iAGAM's compliance function.
• Establish, maintain and evolve compliance-related policies and procedures.
• Provide appropriate reporting to governance bodies and elevate compliance matters when required.
• Promptly inform the Ultimate Designated Person (UDP) of any significant compliance matter and provide the information required for the UDP to discharge their regulatory responsibilities.
• Align the function with iA Financial Group frameworks, standards and reporting mechanisms, while reflecting the specific requirements of a portfolio manager, exempt market dealer and investment fund manager.
• Periodically assess the effectiveness of the compliance system, produce required regulatory reports and maintain direct access to the Ultimate Designated Person (UDP), the Board of Directors and relevant governance bodies.
• Promote a robust compliance culture that is embedded in investment activities and aligned with regulatory expectations.

Compliance team leadership

• Oversee recruitment, development and performance management for members of the team.
• Engage and develop employees to achieve established objectives.
• Prioritize initiatives, allocate resources and ensure continuity of key compliance activities.
• Plan for and secure the resources, expertise and technology capabilities required to deliver the function's mandate effectively.
• Structure the function to support organizational growth and deep critical expertise.

Portfolio oversight and investment compliance

• Ensure that portfolios comply with applicable regulation, investment policies and mandate-specific constraints.
• Oversee the evolution of monitoring mechanisms, including the coding and maintenance of investment constraints.
• Strengthen tools, controls and indicators used to monitor complex investment strategies and constraints.
• Identify and implement corrective actions and enhancements required to strengthen the oversight program.

Regulatory compliance and advisory support to business lines

• Keep current with industry leading practices in compliance and oversight.
• Work collaboratively with portfolio management, trading, operations, risk, technology and governance functions.
• Work closely with iAGAM's Legal Services team to ensure complementary legal and compliance perspectives, continuously clarify respective responsibilities, coordinate the handling of matters and advise business lines on the interpretation and impact of legislative and regulatory changes, as well as the measures required to comply with them.
• Support investment teams in developing pragmatic solutions that balance business objectives, the regulatory framework and risk appetite.
• Maintain strong relationships with business lines to promote a collaborative and effective approach to compliance.

Operational risk, controls and continuous improvement

• Oversee the effectiveness of compliance processes, controls, frameworks and policies.
• Define and monitor key performance, risk and control indicators for the function.
• Contribute to operational effectiveness, strong controls and the prevention of recurring issues.
• Guide the evolution of technology tools, data and digital solutions that support monitoring, controls and compliance activities.

What could accelerate your success in this role?

We're looking for someone who:

• Significant experience in a senior compliance role within an asset management or securities organization, including portfolio oversight, operational risk or related responsibilities.
• Excellent knowledge of financial products, securities regulation applicable to a portfolio manager, exempt market dealer and investment fund manager in Canada and Quebec, and compliance practices specific to this sector.
• Demonstrated experience managing compliance policies, procedures, controls and frameworks.
• Knowledge of surveillance tools, conflicts-of-interest management, compliance systems, data and management indicators; knowledge of Bloomberg or similar compliance modules is an asset.
• Successful completion of the following courses: Canadian Securities Course, Partners, Directors and Senior Officers Course, and Chief Compliance Officers Qualifying Examination. The CFA designation is an asset.
• University degree in finance, accounting, economics, law or a related field; professional designations or specialized securities training are assets.

Key competencies

• Judgement, rigour and the ability to prioritize in a rapidly evolving environment.
• Engaging leadership, with the ability to develop talent and structure a growing function.
• Strategic perspective and the ability to influence senior leadership.
• Ability to exercise independent judgement in complex situations.
• Ability to operate in a complex governance environment with many stakeholders.
• Deep collaborative mindset and strong ability to mobilize expertise and talent.
• Advanced level of French proficiency is required, as the successful candidate will be required to communicate and collaborate with French-speaking partners on a regular basis.
• Ability to establish and maintain relationships with industry peers, other sectors of iA Financial Group and regulators.
• Focus on continuous improvement, data enablement, operational efficiency and the adoption of technology solutions.

Why you'll love working with us?

• A work environment where learning and development merge with a collective pursuit of excellence;
• AI is in everyone's hands, empowering you to increase your personal effectiveness while supporting the organization's growth;
• 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 plans
• Competitive retirement savings plan
• Employee share purchase plan
• Vacation program, wellness days, and personal development days
• Telemedicine services
• Employee and Family Assistance Program (EFAP)
• Ergonomic furniture program
• Performance bonus
• Discounts on iA products
• And much more!

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!