Director Tier 1 Supervision

Location: Montreal

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 work spaces;
· 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! _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _Apply now and get ahead of your career, where your talent really belongs!

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