Director Tier 1 Supervision

iA Financial Group (Industrial Alliance); Montreal (administrative region); Hybrid; CAD 130,000 - 160,000; Full time

Benefits offered by this job

Hybrid work environment

Stock purchase plan

Pension plan

Wellness/personal development days

Telemedicine and employee assistance

Job summary

iA Private Wealth is seeking a Director of Compliance – Business Conduct & Tier 1 Supervision to lead a team and oversee the design and maintenance of the Tier 1 surveillance program for registered branches across Canada.

You will guide policy changes in response to regulatory events, supervise branch visits, and collaborate with IIROC, AMF, OSC and OBSI while delivering training and memos. Fluent French and advanced English are required, with occasional travel and a hybrid work model.

Qualifications

• 10+ years of securities experience and a Bachelor or College Degree.
• Strong leadership, communication, and regulatory liaison capabilities.
• Experience with IIROC, AMF, OSC and OBSI is preferred.
• Fluent in French with advanced English; able to present to diverse audiences.

Responsibilities

• Manage a team of Branch Managers and support staff.
• Oversee compliance reporting, product due diligence, and regulatory inquiries.
• Develop and update policy and procedure changes based on regulatory events.
• Oversee branch visit program, scheduling, and training of Tier 1 staff.
• Draft compliance memos and act as SME on firm initiatives.

Skills

Leadership

Regulatory knowledge

Communication skills

Bilingual (French/English)

Team management

Strategic thinking

Education

Bachelor's or college degree

Job description

Description

Build the future with us

Director Tier 1 Supervision

You are a great communicator and you have excellent relationship skills? You are a natural leader and are great at influencing people? We have an opportunity for you in our iA Private Wealth compliance department! We are currently looking to hire a Director of Compliance – Business Conduct & Tier 1 Supervision to complete our growing team.

This job is responsible for designing and maintaining the Business Conduct & Tier 1 Surveillance Program. This program is for all registered branches across Canada in accordance with regulatory requirements in particular those established by securities regulations and Self-Regulatory Organizations (SROs), including the Investment Regulatory Organization of Canada (IIROC) as well as internal policies and procedures.

What You’ll Accomplish With Us

As Director Tier 1 Supervision, you’ll be at the core of our mission. Here are the main responsibilities:

• Manage a team of three Senior Branch Managers, 40-45 Branch Managers and Branch Administrators
• Oversee day-to-day management of system integrity of compliance reporting, product due diligence, regulatory inquiries and support of all compliance areas
• Support the Senior Branch Managers and the Branch Managers in servicing the advisors and the branches
• Responsible for the branch visit program including supervision of frequency and scheduling
• Develop and recommend policy and procedure changes based on regulatory events
• Keep abreast of new or proposed regulatory policies and industry trends analyze the impact of these potential changes on our trade surveillance program
• Train and develop Tier 1 employee
• Draft and distribute Compliance memos
• Act as the Compliance subject matter expert on all firm initiatives
• Update Policy and Procedures and Forms as needed

What Could Accelerate Your Success In This Role

We’re looking for someone who:

• Has 10+ years of relevant securities experience and a Bachelor or College Degree
• Is known for their curiosity and strong leadership skills
• Has experience in dealing with various regulatory organizations including but not limited to IIROC, AMF, OSC and OBSI
• Stands out for their problem solving skills
• Demonstrates strong industry knowledge across a number of products
• Is recognized for their great communication and presentation skills
• Is fluent in French and an advanced level of English are required, as the incumbent will be expected to communicate and deliver presentations on a weekly basis to internal and external clients located across Canada.
• Is available to travel occasionally

Why you’ll love working with us

• A work environment where learning and development merge with a collective pursuit of excellence;
• 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, competitive pension plan, stock purchase plan, vacation and wellness/personal development days, telemedicine, employee and family assistance program, ergonomic furniture program, performance bonus, discounts on iA products, and much more!

The typical hiring range for this position is between 130 000$ and 160 000$ CAD per year + bonus ; 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.