Sales Communications Analyst for iA Private Wealth, crafting sales communications and supporting investment advisors across Canada. Ensuring compliance and enhancing the client's experience in wealth management.
Responsibilities
Conduct independent research, analyze moderately complex issues, and formulate well‑reasoned conclusions and recommendations using sound judgment
Identify proactively actual and potential violations of regulatory requirements, internal policies and procedures, or other compliance‑related risk situations
Execute compliance review procedures in a high‑quality, risk‑based manner, follow up with appropriate actions, and communicate with advisors in a timely and professional way to provide clear direction on corrective measures
Maintain complete and accurate records for future review by Regulators and Internal Audit, and forward required material to the Marketing department for production and delivery
Participate in special projects requiring compliance expertise, including the review and updating of the Compliance Manual
Stay current on regulatory changes and industry developments by reviewing publications, participating in industry associations, and engaging in employee development initiatives
Perform additional duties and projects as assigned, including acting as backup for team members when needed
Requirements
Thorough knowledge and understanding of the firm’s compliance policies & procedures
Good understanding of the firm’s business practices, organizational structure and general policies & procedures
Strong written and verbal business communication skills
Good knowledge of software applications (including Word, Excel and Power Point), the internet and social media
Strong analytical skills and a keen eye for detail
Capable of simultaneously handling multiple tasks and meeting stringent deadlines
Able to recognize and handle sensitive and confidential information
Self-motivated, confident and capable of working both independently and in a team environment
Superior planning, organizational and time-management skills
College diploma or University degree
(working towards) successful completion of the CSC
Completion of the Conduct and Practices Course within 6 months of hire
Completion of IDSC or equivalent within 1 year of hire if not already passed
1 or more years working in the financial services industry, preferably in a similar role
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