Regulatory Compliance Officer

iA Financial Group; Longueuil; Hybrid; CAD 85,000 - 130,000; Full time

Benefits offered by this job

Flexible benefits

Pension plan

Vacation days

Wellness days

Telemedicine

Employee assistance program

Ergonomic furniture

Discounts on iA products

Job summary

iA Financial Group is seeking a Regulatory Compliance Officer for a 12-month contract to support dealer teams, interpret regulatory requirements, and provide practical guidance on complex matters. The role emphasizes sound risk management and responsible business practices.

You will lead regulatory projects, draft policies, develop training, and oversee privacy and AML initiatives, while reviewing service and distribution agreements.

Qualifications

• Bachelor’s degree in law or a discipline relevant to the role.
• 5–7 years of experience in financial services regulatory compliance or related field.
• Strong analytical skills and sound judgment.

Responsibilities

• Act as expert to address internal regulatory issues.
• Interpret issues to align with regulatory standards.
• Lead projects within the regulatory compliance team.
• Draft and improve policies, procedures, and memos.
• Develop training for employees on regulatory issues.
• Investigate privacy incidents and prepare reports.
• Conduct AML investigations and maintain AML/PEP register.
• Review service and distribution agreements and participate in annual meetings.

Skills

Regulatory compliance

Risk management

Legal affairs

Stakeholder coordination

Analytical skills

Policy interpretation

Education

Bachelor’s degree in law or relevant discipline

Job description

Regulatory Compliance Officer

* 12 months contract role *

Build the future with us

Are you motivated by regulatory compliance, sound risk management and the opportunity to help clients feel confident and secure about their future? As a Regulatory Compliance Officer, you will play a key role in supporting dealer teams, interpreting regulatory requirements and guiding business partners on complex matters that require practical, well-reasoned advice.

This opportunity will allow you to leverage your regulatory expertise, judgment and collaborative approach within an organization where people, trust and responsible business practices are central to how we work.

What you will accomplish with us

As a Regulatory Compliance Officer, you will be at the heart of our regulatory compliance activities.

Your main responsibilities will include:

Regulatory Support

• Act as an advanced expert to address internal issues raised by other departments.
• Interpret business issues to recommend practices that are aligned with current and upcoming regulatory and legislative standards.
• Guide different departments towards an autonomous approach in solving complex problems.
• Offer personalized recommendations while positively influencing the achievement of corporate objectives.

Regulatory Project

• Project Responsibility: Lead certain important projects assigned to the regulatory compliance team and involve necessary partners.
• Policy and Procedure Improvement and Drafting: Improve and draft policies, procedures, and memos.
• Training Development: Use advanced knowledge and expertise to develop training for employees based on the organization's business issues.
• Continuous Improvement: Participate in the continuous improvement of processes and practices.

Personal Information Protection

• Investigate privacy incidents and lead follow-up meetings.
• Complete incident reports.
• Advise teams on personal information protection issues and draft quarterly and annual reports.

Anti-Money Laundering

• Conduct complex investigations into anti-money laundering and terrorist financing activities.
• Investigate politically exposed persons and maintain the AML & PEP register.
• Participate in internal audits and AML training management.

Referral and Distribution Agreements

• Analyze and review requests and agreements.
• Maintain agreement records and respond to annual questionnaires.

Service Agreements

• Analyze and review service agreements, and participate in annual meetings.
• Negotiate clauses with third parties and maintain records.

What could accelerate your success in this role

• You have 5 to 7 years of experience in the financial services industry, regulatory compliance, legal affairs or another relevant field.
• You have strong knowledge of regulatory compliance in the financial services industry and understand how to translate regulatory expectations into practical business guidance.
• You are recognized for your analytical skills, sound judgment, rigour and ability to resolve complex issues.
• You are comfortable coordinating stakeholders, influencing partners and working with multidisciplinary teams.
• You are able to explain complex regulatory and legislative concepts clearly to various audiences.
• You have experience contributing to projects, policies, procedures, training initiatives or continuous improvement activities.
• You hold a bachelor’s degree in law or in a discipline relevant to the role, or an equivalent combination of education and professional experience.
• A professional designation is considered an asset, such as lawyer, accountant or another relevant designation.

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, vacation and wellness/personal development days, telemedicine, employee and family assistance program, ergonomic furniture program, discounts on iA products, and much more!