Description Build the future with us Director Tier 1 Supervision 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.

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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 prospect 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!

______________________________________________________________________________ Apply now and get ahead of your career, where your talent really belongs!

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Still unsure about applying?

At iA, we believe in potential and value diverse experiences. If this role inspires you, go ahead and apply – your place might be with us, and we want to get to know you!

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The typical hiring range for this position is between 130 000$ and 160 000$ CAD per year + bonus ; the base salary offered may vary depending on knowledge, skills, years of experience, and internal equity related to the role. At iA, we are committed to offering a fair, equitable, and market-based compensation structure. Our market data is updated annually to reflect the most current market conditions.

📌 Director Tier 1 Supervision (Montreal)
🏢 iA Financial Group (Industrial Alliance)
📍 Montreal