Senior Director Compliance (Tier 2 Supervision)

About iA Private Wealth:

iA Private Wealth is a leading wealth management firm with one of the largest networks of independent advisors in Canada and managing over $45 billion in assetsunderadministration. iA Private Wealth belongstoiA Financial Group, a renowned financial services provider for more than 129years. As one of the largest publicly traded companies in the country, iA Financial Group serves more than 4 million clients and manages more than $197 billion in assets. This powerful partnership offers the best of both worlds: comprehensive wealth management solutions supported by the business philosophy of iA Private Wealth Management, as well as the strength and stability established by iA Financial Group.

Position Overview:

The Senior Director Compliance, Tier 2Supervisionwill oversee ManagedProgram, Insurance and Capital Markets.

This positionreportstothe Chief Compliance Officer and Vice-President iA Private Wealth (CCO) who is responsible for all compliance and risk strategies, policies, and processes for all of iA Private Wealth.

The Senior Director Compliance will support the CCO in carrying out its functions and ensuring the compliance system satisfies complex regulatory requirements in a dynamic environment where new risks are continually presented. As a Senior Director and leader, this person will also play a strategic role in challenging and helping the CCO to continuously improve the complianceprogramatiA Private Wealth and develop solid relationships with the business and its agents. This role will also act as an experienced resource foremployeesand agentstohelp ensure compliance with applicable securities requirements andinternalpolicies and procedures.

The Senior Director Compliance will oversee all aspects of the tier 2supervisionprogram(including trade conduct compliance), managedprogram, insurance, and capital market compliance. In addition, he or she will help with product oversight. In particular, he or she will assume the following responsibilities:

• Lead, guide, and develop a team of 20 professionalslocatedacross Canada (mainly in Montreal and Toronto) and assure its performance in alignment with the iAPW values
• Attract, retain and foster the professional development of top talent
• Challenge the statu quo and improve and maintain the tier 2supervisionprogram(including trade conduct compliance), managedprogram, insurance, and capital market complianceprogramtoensure an effective compliance oversight function
• Identify and implement opportunitiestoenhance risk management, productivity and operational efficiency, particularly in the area of process automation andworksimplification
• Stay abreast of changes in the regulatory framework to stay competitive and to improveourprocesses accordingly
• Implement and presenttothe CCO key performance indicators,reportsonproduct oversight, andreportsontradingsupervisionand trends
• Adviseemployeesand advisorsoniAPW policies and regulatory matters and identify training needs of team members to improve knowledge of the industry
• Forecast trends and provide guidancetointernalpartnerstosupport the implementation of appropriate changes
• Participate and contributetocompliance and business initiatives aimed at developing new products and services and new processestocreate efficiencies and support the business in itsclientandadvisorexperience initiatives
• Workwith cross-functional groups on ongoing changestocompliance requirements and risksreporting
• Develop relationships with business partners and advisorstocontinuetoimprove collaboration and implement a strong compliance culture
• Workwith iA Affiliate Compliance teamstoensure a uniform standard of compliance that leverages the strengths and expertise of the wealth management group of companies
• Attend relevant industry events and forumstokeep abreast of the evolving regulatory environment and various industry initiatives and issues
• Build a network of industry contactstogather competitive intelligence and best practices
• Perform other responsibilities prescribed by the CCO

Requiredcompetencies:

• Abachelor'sdegreein the financial industry field, preferably in law
• Atleast 15yearsof experience in the financial industry
• Atleast 5to7yearsof experience as a manager
• In-depth knowledge of securities industry rules and regulations and financial products and services
• Knowledge of surveillance/trading systems and Canadian market structure
• Excellent interpersonal and communication skills
• Excellent organizational and analytical skills
• Abilitytoprioritize and executemultipleinitiatives, projects and tasks with effective leadership
• Strong judgment, analytical and strategical thinking skills andhighdegreeof ethical integrity
• Excellent problem-solving skills and attentiontodetail
• Orientation towards customer service with the objective of providing effective solutions
• Availabilitytotravel
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