Director, Compliance Tier 2 Supervision

iA Financial Group (Industrial Alliance)

Director overseeing compliance with a focus on Managed Program and Capital Markets at iA Private Wealth. Leading a team and improving compliance oversight and risk management processes across Canada.

Posted 5/28/2026full-timeMontreal • 🇨🇦 CanadaLead💰 CA$165,000 - CA$180,000 per yearWebsite

About the role

Key responsibilities & impact

Oversee Managed Program and Capital Markets
Support the CCO in compliance responsibilities
Develop and guide a team of 25 professionals across Canada
Improve and maintain the tier 2 supervision program (including trade conduct compliance)
Enhance risk management, productivity, and operational efficiency
Stay updated on regulatory changes
Present key performance indicators and reports to the CCO
Advise employees and advisors on policies and regulatory matters
Forecast trends and provide guidance to internal partners
Collaborate on compliance and business initiatives
Develop relationships with business partners for compliance culture
Work with iA Affiliate Compliance teams
Attend industry events to gather insights

Requirements

What you’ll need

At least 15 years of experience in the financial industry
5 years of experience in a people management position
Bachelor's degree in the financial industry field, preferably in law
Ability to prioritize and execute multiple initiatives, projects and tasks with effective leadership
Excellent organizational and analytical skills
Strong knowledge of securities industry rules and regulations and financial products and services
Strong judgment, analytical and strategical thinking skills
High degree of ethical integrity
Completion of the Canadian Securities Course (CSC)
Conduct and Practices Handbook (CPH)
Branch Managers Course and/or Canadian Investment Regulatory Exam (CIRE)
Retail Securities Exam
Supervisor Exam
Advanced level of English and French proficiency
Willingness to travel to Montreal and Toronto on a monthly basis

Benefits

Comp & perks

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

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

financial analysisrisk managementcompliance oversighttrade conduct compliancesecurities industry rulesfinancial productsanalytical skillsstrategical thinkingproject managementpeople management

Soft Skills

leadershiporganizational skillsjudgmentethical integritycommunicationcollaborationrelationship buildingprioritizationexecutionpresentation skills

Certifications

Canadian Securities Course (CSC)Conduct and Practices Handbook (CPH)Branch Managers CourseCanadian Investment Regulatory Exam (CIRE)Retail Securities ExamSupervisor Exam