Compliance Officer
iA Financial Group (Industrial Alliance)
full-time
Posted on:
Location Type: Hybrid
Location: Toronto • Canada
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Salary
💰 CA$75,000 - CA$85,000 per year
About the role
- Conduct investigations of client complaints in accordance with CIRO Rules
- Analyze evidence and document analysis for complaint resolution
- Prepare responses for information requests from regulators
- Monitor and document complaint processes
- Provide administrative coordination and support for cyber incident management
- Assist in the implementation of the department’s Complaint Handling Policy
Requirements
- Excellent analytical, problem-solving, and communication skills
- Extensive knowledge of the mutual fund industry and products
- 3+ years of experience in a Compliance role
- Strong understanding of CIRO regulation and regulatory filing requirements
- Canadian Securities Course or IFIC Mutual Funds Course or equivalent required
- Advanced French (both written and verbal) required.
Benefits
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Applicant Tracking System Keywords
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Hard Skills & Tools
analytical skillsproblem-solving skillscommunication skillsregulatory filing requirementscomplaint resolutionevidence analysisadministrative coordinationcyber incident management
Soft Skills
excellent communicationanalytical thinkingproblem-solvingadministrative support
Certifications
Canadian Securities CourseIFIC Mutual Funds Course