Senior Managed Account Supervisor

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

Benefits offered by this job

Hybrid work environment

Competitive benefits

Stock purchase plan

Vacation and wellness days

Telemedicine

Employee and family assistance program

Ergonomic furniture program

Job summary

iA Financial Group in Montreal is seeking a Managed Account Supervisor to oversee compliance for managed accounts and collaborate with Portfolio Managers. You will review client documentation and investment policies, ensuring alignment with regulatory standards and internal controls.

The role emphasizes training, governance, and proactive issue resolution. The position offers a hybrid work environment, competitive benefits, and opportunities to advance in a trusted financial services firm with

Qualifications

• Experience with CIRO/CSA rules and regulatory expectations.
• Ability to review NCAFs, KYC updates, and IPS for suitability.
• Experience in compliance reviews and supervision of portfolios.

Responsibilities

• Conduct quarterly portfolio reviews for managed accounts to ensure compliance.
• Review and approve client forms and policy statements for suitability.
• Perform quarterly pooled fund trade reviews and oversight.
• Collaborate with Portfolio Managers and internal teams on compliance.
• Provide training and onboarding support on managed platforms and best practices.
• De-escalate issues and balance business needs with regulatory requirements.
• Promote a culture of compliance across the organization.
• Stay current on regulatory developments and firm procedures.

Skills

Analytical thinking

Critical thinking

Strong communication

Bilingual (English/French)

Organizational skills

Prioritization & multitasking

Proficient MS Office

Education

CIRO Registration as Supervisor

CIM Designation or CFA Charter

Canadian Securities Course (CSC)

CIRO Derivatives exam (asset)

Tools

Microsoft Office Suite

Job description

Description

Managed Account Supervisor

Build the future with us

Are you eager to contribute to the purpose of a company that aims to help its clients feel confident and secure about their future? As a Managed Account Supervisor, you will play a key role in establishing and nurturing working relationships with Portfolio Managers, ensuring strict adherence to regulatory and firm compliance.

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

• Conduct comprehensive quarterly portfolio reviews for managed accounts (including Unified Managed Accounts) to ensure adherence to regulatory and firm compliance standards
• Review and approve New Client Account Forms (NCAFs), KYC updates, and Investment Policy Statements (IPS) to assess the suitability of proposed investment strategies
• Perform quarterly pooled fund trade reviews to support ongoing suitability and compliance oversight
• Participate in the review, interpretation, and resolution of compliance-related matters
• Provide ongoing guidance to Portfolio Managers and other business units on compliance requirements and expectations
• Provide training and onboarding support to Portfolio Managers on managed platforms and best practices Foster strong working relationships with Portfolio Managers and their teams to support effective communication and collaboration
• Address and de-escalate issues raised by business partners by identifying practical solutions that balance business needs with regulatory requirements
• Promote a culture of compliance by working collaboratively with internal teams to enhance awareness and understanding of compliance standards
• Identify opportunities to enhance efficiency and effectiveness of the firm’s compliance and supervision systems
• Stay current on regulatory developments and maintain a strong understanding of internal policies and procedures as well as within the industry

What could accelerate your success in this role

• 5 years or more relevant investment industry experience with a CIRO member firm or an ICPM acceptable to the Corporation, preferably within a compliance related role
• CIRO Registration as a Supervisor
• Canadian Investment Regulatory Exam (“CIRE”), Retail Securities Exam, and Supervisor Exam and minimum two years of relevant experience acceptable to the Corporation
• OR have been licensed within the last 3 years on the Investment Dealer side with CIRO, with required CSI courses in good standing (Canadian Securities Course, Conducts & Practices Handbook, etc)
• Options licensed or CIRO Derivatives exam is a strong asset
• CIM Designation and/or CFA Charter
• Strong knowledge of CIRO and CSA rules
• Strong analytical and critical thinking skills
• Self-motivated and proactive, with the ability to effectively manage competing priorities in a dynamic environment
• Highly organized with strong attention to detail and the ability to prioritize and manage multiple tasks in a high-volume, fast-paced setting
• Excellent written and verbal communication skills, with the ability to engage effectively with both Portfolio Managers and Head Office employees
• Demonstrates sound judgment and a high degree of discretion in handling confidential information
• Proficient in Microsoft Office Suite (Outlook, Word, Excel, PowerPoint, OneNote)
• Bilingual in English and French is strongly preferred

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!