Regulatory Compliance Officer

Job summary

The officer will provide expert regulatory guidance to dealer teams and lead compliance projects, including policy drafting and training development. Key duties include investigating privacy incidents, conducting AML investigations, and reviewing service and distribution agreements.

Job details

Description Regulatory Compliance Officer * 12 months contract role * Build the future with us Are you motivated by regulatory compliance, sound risk management and the opportunity to help clients feel confident and secure about their future? As a Regulatory Compliance Officer, you will play a key role in supporting dealer teams, interpreting regulatory requirements and guiding business partners on complex matters that require practical, well-reasoned advice. This opportunity will allow you to leverage your regulatory expertise, judgment and collaborative approach within an organization where people, trust and responsible business practices are central to how we work. What You Will Accomplish With Us As a Regulatory Compliance Officer, you will be at the heart of our regulatory compliance activities. Your main responsibilities will include: Regulatory Support: Act as an advanced expert to address internal issues raised by other departments. Interpret business issues to recommend practices that are aligned with current and upcoming regulatory and legislative standards. Guide different departments towards an autonomous approach in solving complex problems. Offer personalized recommendations while positively influencing the achievement of corporate objectives. Regulatory Project: Project Responsibility: Lead certain important projects assigned to the regulatory compliance team and involve necessary partners. Policy and Procedure Improvement and Drafting: Improve and draft policies, procedures, and memos. Training Development: Use advanced knowledge and expertise to develop training for employees based on the organization's business issues. Continuous Improvement: Participate in the continuous improvement of processes and practices. Personal Information Protection: Investigate privacy incidents and lead follow-up meetings. Complete incident reports. Advise teams on personal information protection issues and draft quarterly and annual reports. Anti-Money Laundering: Conduct complex investigations into anti-money laundering and terrorist financing activities. Investigate politically exposed persons and maintain the AML & PEP register. Participate in internal audits and AML training management. Referral and Distribution Agreements: Analyze and review requests and agreements. Maintain agreement records and respond to annual questionnaires. Service Agreements: Analyze and review service agreements, and participate in annual meetings. Negotiate clauses with third parties and maintain records. What Could Accelerate Your Success In This Role You have 5 to 7 years of experience in the financial services industry, regulatory compliance, legal affairs or another relevant field. You have strong knowledge of regulatory compliance in the financial services industry and understand how to translate regulatory expectations into practical business guidance. You are recognized for your analytical skills, sound judgment, rigour and ability to resolve complex issues. You are comfortable coordinating stakeholders, influencing partners and working with multidisciplinary teams. You are able to explain complex regulatory and legislative concepts clearly to various audiences. You have experience contributing to projects, policies, procedures, training initiatives or continuous improvement activities. You hold a bachelor’s degree in law or in a discipline relevant to the role, or an equivalent combination of education and professional experience. A professional designation is considered an asset, such as lawyer, accountant or another relevant designation. Why you’ll love working with us A 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 to work in a hybrid environment, supported by flexibility and access to inspiring and innovative workspaces; Competitive benefits: Flexible group insurance, competitive pension plan, vacation and wellness/personal development days, telemedicine, employee and family assistance program, ergonomic furniture program, discounts on iA products, and much more! Apply now and get ahead of your career, where your talent really belongs! Still unsure about applying? At iA, we believe in potential and value diverse experiences. If this role inspires you, go ahead and apply – your place might be with us, and we want to get to know you!

What you’ll do

The officer will provide expert regulatory guidance to dealer teams and lead compliance projects, including policy drafting and training development. Key duties include investigating privacy incidents, conducting AML investigations, and reviewing service and distribution agreements.

Requirements

Candidates need 5 to 7 years of experience in financial services, regulatory compliance, or legal affairs. A bachelor's degree in law or a related field is required, with professional designations like lawyer or accountant considered an asset.

Benefits

• Flexible Group Insurance • Competitive Pension Plan • Vacation • Wellness/Personal Development Days • Telemedicine • Employee And Family Assistance Program • Ergonomic Furniture Program • Discounts On Ia Products

Listed skills

• Regulatory Compliance · Preferred
• Risk Management · Preferred
• Contract Negotiation · Preferred

Other relevant skills

Identified from the job description. Confirm important requirements above.

• Regulatory Compliance
• Risk Management
• Anti-Money Laundering
• Privacy Incident Investigation
• Policy Drafting
• Legal Analysis
• Stakeholder Coordination
• Training Development
• Financial Services Regulation
• Contract Negotiation
• Internal Auditing
• Personal Information Protection

Job areas

• Legal
• Finance & Accounting
• Management & Leadership