Drive compliance excellence with iA Private Wealth as the Director of Compliance – Business Conduct & Tier 1 Supervision. Lead a dynamic team dedicated to regulatory integrity across Canada.

Join iA Private Wealth's compliance department and oversee the essential Business Conduct & Tier 1 Surveillance Program. This leadership role requires managing three Senior Branch Managers and approximately 45 Branch Managers, ensuring all branches comply with regulatory standards. You'll also be responsible for developing policies, training employees, and addressing regulatory inquiries effectively.

Key Responsibilities:
• Manage compliance reporting and oversight of product due diligence
• Direct the branch visit supervision program




• Train and develop Tier 1 employees
• Draft compliance memos and update internal policies
• Analyze and report on regulatory impacts affecting trade surveillance

Requirements:
• 10+ years of securities experience required
• Bachelor’s or College Degree
• Fluency in French and advanced English
• Robust leadership and communication skills
• Familiarity with IIROC and major regulatory bodies

Lead iA Private Wealth’s compliance initiatives by integrating strong leadership and communication skills.
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📌 Director of Compliance - Tier 1 Supervision (Ontario)
🏢 iA Financial Group (Industrial Alliance)
📍 Ontario