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Director, Tier 1 Supervision
iA Financial Group (Industrial Alliance)Director of Compliance overseeing Business Conduct & Tier 1 Supervision while managing assorted compliance responsibilities for iA Private Wealth. Leading a team for regulatory adherence in Canada.
Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates extensive experience in managing compliance reporting and regulatory inquiries while leading a team of Senior Branch Managers. Proficient in developing policies and procedures in alignment with regulatory standards and training employees to ensure adherence to compliance initiatives.
Highest-signal resume keywords
10+ Years Securities ExperienceCompliance Subject Matter ExpertRegulatory Organizations ExperienceFluency in French and Advanced EnglishStrong Problem-Solving Skills
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Compliance ReportingPolicy DevelopmentRegulatory InquiriesProduct Due DiligenceTeam ManagementTraining and DevelopmentBranch SupervisionIndustry Knowledge
Soft Skills
Excellent Communication SkillsPresentation Skills
Industry Keywords
IIROCAMFOSCOBSI
About the role
Key responsibilities & impact- Manage a team of Senior Branch Managers and Branch Managers
- Oversee compliance reporting, product due diligence, and regulatory inquiries
- Support Senior Branch Managers in servicing advisors
- Responsible for branch visit program and supervision
- Develop policy and procedure changes based on regulations
- Train and develop Tier 1 employees
- Act as Compliance subject matter expert on firm initiatives
- Update Policy and Procedures as needed
Requirements
What you’ll need- 10+ years of relevant securities experience
- Bachelor or College Degree
- Experience with various regulatory organizations (IIROC, AMF, OSC, OBSI)
- Strong problem-solving skills
- Strong industry knowledge across multiple products
- Excellent communication and presentation skills
- Fluency in French and advanced English is required
- Available to travel occasionally
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