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 employees
Oversee compliance reporting and regulatory inquiries




Coordinate the branch visit supervision program
Train and develop Tier 1 compliance employees
Draft compliance memos and update procedures

Requirements:
10+ years of relevant experience in securities
Robust leadership and problem-solving skills
Experience with IIROC and other regulatory bodies
Bilingual in French and advanced English
Willingness to travel occasionally

Lead a compliance-focused team at iA Private Wealth, ensuring adherence to regulations while developing robust industry relationships.

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