Regulatory Compliance Officer

iA Financial Group (Industrial Alliance); Quebec; Hybrid; CAD 90,000 - 120,000; Full time

Benefits offered by this job

Hybrid work environment

Flexible benefits

Wellness & development days

Telemedicine

Employee assistance program

Discounts on iA products

Job summary

iA Financial Group (Industrial Alliance) is seeking a Regulatory Compliance Officer in Canada for a 12-month contract. You will support dealer teams, interpret regulatory requirements and guide business partners with practical, well-reasoned advice.

You will lead regulatory projects, draft policies, develop training, and drive continuous improvement while handling privacy, AML, and contract reviews. A law-related degree and 5–7 years in financial services are valued. Hybrid work available.

Qualifications

• 5–7 years in financial services, regulatory compliance or legal affairs.
• Strong knowledge of financial regulatory expectations and practical guidance.
• Analytical, with sound judgment, and able to resolve complex issues.
• Able to coordinate stakeholders and work with multidisciplinary teams.
• Ability to explain regulatory concepts clearly to diverse audiences.
• Experience contributing to policies, procedures or training initiatives.
• Bachelor’s degree in law or related discipline; professional designation is a plus.

Responsibilities

• Act as an advanced expert to address internal regulatory issues.
• Interpret business issues and recommend compliant practices.
• Guide departments toward autonomous problem solving.
• Lead regulatory projects and involve necessary partners.
• Draft and improve policies, procedures and memos.
• Develop training for employees on regulatory topics.
• Participate in continuous improvement of processes.
• Investigate privacy incidents and draft reports.
• Conduct AML investigations and manage AML/PEP tasks.
• Review service and distribution agreements with stakeholders.

Skills

Regulatory compliance

Analytical thinking

Stakeholder mgmt

Regulatory investigations

Policy drafting

Education

Bachelor’s degree in law or related field

Job description

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.

Description

Regulatory Compliance Officer

* 12 months contract role *

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!

Still unsure about applying?

At iA, we believe in potential and value diverse experiences.