Regional Director selling Provation Apex clinical documentation SaaS to Canadian gastroenterology facilities. Managing healthcare sales cycles, executive relationships, pipelines, and customer migrations.
About the role
- Compliance Director overseeing tier-one supervision, surveillance, and regulatory programs for iA Private Wealth’s Canadian wealth-management branches. Leading branch managers and ensuring securities-compliance integrity.
Responsibilities
- Design and maintain the Business Conduct & Tier 1 Surveillance Program for all registered branches across Canada
- Manage a team of three Senior Branch Managers, 40–45 Branch Managers and Branch Administrators
- Oversee day-to-day system integrity of compliance reporting, product due diligence, regulatory inquiries and support of all compliance areas
- Support Senior Branch Managers and Branch Managers in servicing advisors and branches
- Manage the branch visit program, including supervision of frequency and scheduling
- Develop and recommend policy and procedure changes based on regulatory events
- Monitor new or proposed regulatory policies and industry trends and analyze their impact on the trade surveillance program
- Train and develop Tier 1 employees
- Draft and distribute Compliance memos
- Act as the Compliance subject matter expert on firm initiatives
- Update policies, procedures and forms as needed
Requirements
- 10+ years of relevant securities experience
- Bachelor or College Degree
- Curiosity and strong leadership skills
- Experience dealing with regulatory organizations including IIROC, AMF, OSC and OBSI
- Strong problem-solving skills
- Strong industry knowledge across a number of products
- Strong communication and presentation skills
- Fluent in French
- Advanced level of English
- Availability to travel occasionally
Benefits
- 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
- 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
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