Compliance Analyst

Industrial Alliance Insurance and Financial Services Inc; Toronto; Hybrid; CAD 60,000 - 70,000; Full time

Benefits offered by this job

Hybrid work environment

AI is in everyone's hands

Job summary

Industrial Alliance Insurance and Financial Services Inc in Toronto is seeking a Compliance Analyst to support the Compliance Group with oversight, monitoring, analysis, and reporting on securities regulations (81-102, 81-105, 81-106) and internal policies. This temporary role starts immediately in Toronto and ends in March 2027.

You will review matters, conduct research, document findings, and escalate significant issues, while collaborating in a caring, innovative environment with hybrid work

Qualifications

• Holds a bachelor's degree in a relevant field.
• Analytical thinking and problem-solving skills.
• Strong attention to detail, organizational skills, and ability to manage multiple priorities.
• Demonstrates initiative, investigative-thinking skills, and sound judgment.
• Researches regulatory requirements and applies them to practical business situations.
• Clearly documents analysis, findings and recommendations and knows when to escalate.
• Clear written and verbal communication skills; works well in a team.
• Professionalism, reliability, and integrity.
• Interest in financial services compliance.
• Proficient in Microsoft Excel, Word, and PowerPoint.

Responsibilities

• Review marketing materials and communications for regulatory compliance and provide comments.
• Evaluate and respond to requests related to sales activities and events.
• Monitor promotional activities and gifting for adherence to guidelines and remediation.
• Conduct regular targeted reviews of corporate website and social media; document findings.
• Research securities regulatory requirements and internal policies to support reviews.
• Assist in updating internal policies and procedures under guidance.
• Assist in implementing compliance oversight for new product offerings.
• Support employee training development and maintenance of training materials.
• Maintain compliance documentation with reviews, decisions and rationale.
• Identify emerging issues and escalate significant matters to the Compliance Manager.
• Support monitoring, testing, reporting and other projects as required.

Skills

Analytical thinking

Problem solving

Attention to detail

Organizational skills

Multitasking

Judgment

Regulatory research

Documentation

Written communication

Verbal communication

Professionalism

Reliability

Integrity

Financial services compliance

Microsoft Excel

Microsoft Word

PowerPoint

Education

Bachelor's degree

Tools

Microsoft Excel

Microsoft Word

PowerPoint

Job description

Build the future with us

Are you driven by financial services compliance and eager to contribute to the purpose of a company that aims to help its clients feel confident and secure about their future?

As a Compliance Analyst, you will play a key role in supporting the Compliance Group with its oversight, monitoring, analysis, administrative, and reporting functions related to securities regulations, mainly National Instruments 81-102, 81-105, and 81-106, as well as internal policies and procedures.

In this role, you will review compliance matters, conduct research and analysis, identify potential compliance concerns, document findings and recommendations, and elevate matters requiring further review or guidance.

This is a temporary position based in Toronto, starting immediately and ending in March 2027.

This position is a great opportunity to showcase your skills and fully realize your potential within a caring and trustworthy company. Here, people and their development are at the heart of our priorities, fostering an environment that encourages collaboration and innovation.

What you'll accomplish with us

As a Compliance Analyst, you'll be at the core of our mission. Here are the main responsibilities:

• Review and assess marketing materials and communications for compliance with applicable regulatory requirements and internal policies and provide clear compliance comments and recommendations;
• Evaluate and respond to requests relating to sales activities and events, researching applicable requirements and identifying matters requiring escalation where appropriate;
• Monitor business promotional activities and gifting regularly for adherence to applicable guidelines, identify potential exceptions and support appropriate follow-up and remediation;
• Conduct regular targeted reviews of the corporate website and social media accounts and document findings, exceptions and required follow-up;
• Conduct research and analysis of securities regulatory requirements, regulatory guidance and internal policies in support of compliance reviews and inquiries;
• Assist with updating internal policies and procedures with the manager's guidance, including identifying opportunities to strengthen controls and procedures;
• Assist in implementing compliance oversight for new product offerings;
• Support the group's employee training efforts, including researching compliance requirements and assisting with the development and maintenance of training materials;
• Help maintain compliance documentation and recordkeeping, including accurate documentation of reviews, findings, decisions and supporting rationale;
• Identify emerging or recurring compliance issues through day-to-day reviews and monitoring and bring significant matters to the attention of the Compliance Manager; and
• Support compliance monitoring, testing, reporting and other projects as required.

What could accelerate your success in this role

We're looking for someone who:

• Holds a bachelor's degree in a relevant field;
• Is known for their analytical thinking and problem-solving skills;
• Stands out for their strong attention to detail, organizational skills, and ability to manage multiple priorities;
• Demonstrates strong initiative, investigative-thinking skills, and the ability to exercise sound judgment;
• Can research and interpret regulatory requirements and apply them to practical business situations;
• Can clearly document analysis, findings and recommendations and knows when an issue should be escalated;
• Is recognized for their clear written and verbal communication skills and ability to work effectively in a team environment;
• Demonstrates professionalism, reliability, and integrity;
• Has an interest in financial services compliance; and
• Is proficient in Microsoft Excel, Word, and PowerPoint.

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.

The typical hiring range for this position is between 60 000 and 70 000 CAD per year; the base salary offered may vary depending on knowledge, skills, years of experience, and internal equity related to the role. At iA, we are committed to offering a fair, equitable, and market-based compensation structure. Our market data is updated annually to reflect the most current market conditions.