- Test for compliance with Dealer policies and procedures and regulatory requirements in accordance with the Dealer’s branch review program.
- Completing reviews of assigned registered locations, including conducting interviews with Branch Managers, Representatives, and their supporting staff.
- Ensure that policies and procedures and supervisory standards are maintained by Branch Managers at assigned branches.
- Ensure adequate training and education is provided to Representatives and their supporting staff with respect to regulatory and Dealer policies and procedures.
- Preparing and issuing branch review reports that document identified issues and working with the Branch Manager and/or Representative to address the noted deficiencies.
- Maintain regular communication with each branch and all associated Representatives following the branch review to ensure that all issues raised in the review are adequately addressed so as to close the review in a timely manner.
- At the request of the Director, Complaints and Audit, provide additional analysis in complex cases, identify potential solutions and make appropriate recommendations to resolve compliance issues.
- Prepare and assess the performance of the Branch Audit team and assist in the operational efficiencies of the program.
- Other duties as assigned.
- At least 3-5 years experience in a compliance or branch audit function.
- Strong knowledge of the securities industry, current regulatory rules (IIROC), policies and procedures and industry guidelines as they relate to branch audits and best practices.
- Post secondary degree or diploma in business, finance, economics or other related discipline.
- Completion of the Canadian Securities Course and Branch Managers Course and/or OPD/PDO is required.
- Excellent oral and written communication skills.
- Willingness to travel extensively across Canada.
- Exceptional organizational and time management skills and the ability to work independently.
- Working knowledge of Microsoft Word, Excel and Outlook.
- Experience and knowledge of ISM is an asset.
- Bilingual in French and English would be a definite asset.
iA Financial Group is committed to fostering a workplace that promotes diversity and inclusion. We can provide accommodation in our recruitment and selection processes to applicants with disabilities where required. Please contact your Recruiter, or send an email to email@example.com