Compliance Officer
iA Private Wealth(1 month ago)
About this role
A Compliance Officer at Investia Financial Services (iA Financial Group) supports the Compliance Department by ensuring activities comply with applicable legislation, CIRO Rules, and internal policies. The role contributes to effective risk management and helps maintain client confidence and regulatory integrity across the organization.
Required Skills
- Investigations
- Regulatory Knowledge
- Complaint Handling
- File Analysis
- Privacy Compliance
- Incident Management
- Communication
- Interviewing
- Stakeholder Management
- Documentation
+1 more
Qualifications
- Canadian Securities Course
- IFIC Mutual Funds Course
- PDO/OPD
- Mutual Fund Dealer Compliance Course
- Branch Managers Course
About iA Private Wealth
iaprivatewealth.caiA Private Wealth – Holistic wealth management tailored for Canadians. Retirement, tax, estate and investment planning with trusted advisors by your side.
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