Job DescriptionBuild the future with usDirector Tier 1 SupervisionYou 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 usAs 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 AdministratorsOversee day-to-day management of system integrity of compliance reporting, product due diligence, regulatory inquiries and support of all compliance areasSupport the Senior Branch Managers and the Branch Managers in servicing the advisors and the branchesResponsible for the branch visit program including supervision of frequency and schedulingDevelop and recommend policy and procedure changes based on regulatory eventsKeep abreast of new or proposed regulatory policies and industry trends analyze the impact of these potential changes on our trade surveillance programTrain and develop Tier 1 employeeDraft and distribute Compliance memosAct as the Compliance subject matter expert on all firm initiativesUpdate Policy and Procedures and Forms as neededWhat could accelerate your success in this roleWe’re looking for someone who:Has 10+ years of relevant securities experience and a Bachelor or College DegreeIs known for their curiosity and strong leadership skillsHas experience in dealing with various regulatory organizations including but not limited to IIROC, AMF, OSC and OBSIStands out for their problem solving skillsDemonstrates strong industry knowledge across a number of productsIs recognized for their outstanding communication and presentation skillsIs 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 occasionallyWhy you’ll love working with usA 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 towork 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!The typical hiring range for this position is between 130 000$ and 160 000$ CAD per year + bonus ; the base salary offeredmay 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.Location(s)Montreal / 1981 McGill College AvenueOther Possible Location(s)Toronto / 26 Wellington Street EastCompanyiA Private Wealth Inc.Company OverviewiA Financial Group* is the strength of a company with a human side, with its over 8,000 employees. Together, we have earned the trust of our more than four million clients and 25,000 advisors who have chosen us for their insurance, savings, and wealth management.With over $200 billion in assets and half a billion invested in technological innovation, we’re a key player in the financial services industry in Canada and the United States. The secret to our success? Investing in you, one person at a time. Because, for over#J-18808-Ljbffr

📌 Director Tier 1 Supervision - C$130,000 - C$160,000 A Year (Winnipeg)
🏢 iA Private Wealth
📍 Winnipeg