Lead compliance and supervision initiatives with iA Private Wealth as their Director of Compliance. This role emphasizes relationship management, regulatory oversight, and team leadership within a significant financial services organization.As the Director of Compliance – Business Conduct & Tier 1 Supervision, you will design the Business Conduct & Tier 1 Surveillance Program for all branches across Canada. You will manage a diverse team, ensure compliance with regulatory requirements, and stay updated on industry trends and best practices.



Your leadership will drive the effectiveness of compliance efforts while reinforcing company policies.Key Responsibilities:Manage a team of Senior Branch Managers and employeesOversee compliance reporting and regulatory inquiriesCoordinate the branch visit supervision programTrain and develop Tier 1 compliance employeesDraft compliance memos and update proceduresRequirements:10+ years of relevant experience in securitiesStrong leadership and problem-solving skillsExperience with IIROC and other regulatory bodiesBilingual in French and advanced EnglishWillingness to travel occasionallyLead a compliance-focused team at iA Private Wealth, ensuring adherence to regulations while developing robust industry relationships.#J-18808-Ljbffr

📌 Director Of Compliance At Ia Private Wealth (Montreal)
🏢 Socket.dev
📍 Montreal