BMO Relationship Manager growing small - business banking portfolios in Quebec. Developing sales strategies, financial solutions, and long - term client relationships to expand market share.
IA
Senior Managed Account Supervisor
Posted 3 days ago
About the role
- Managed Account Supervisor overseeing portfolio compliance for Canadian wealth-management clients at iA Financial Group. Reviewing managed accounts, suitability, regulatory requirements, and Portfolio Manager practices.
Responsibilities
- Conduct comprehensive quarterly portfolio reviews for managed accounts, including Unified Managed Accounts, to ensure regulatory and firm compliance
- Review and approve New Client Account Forms, KYC updates, and Investment Policy Statements to assess investment-strategy suitability
- Perform quarterly pooled fund trade reviews for suitability and compliance oversight
- Review, interpret, and resolve compliance-related matters
- Provide ongoing guidance to Portfolio Managers and business units on compliance requirements and expectations
- Train and onboard Portfolio Managers on managed platforms and best practices
- Foster working relationships with Portfolio Managers and their teams
- Address and de-escalate business-partner issues by identifying practical solutions balancing business needs with regulatory requirements
- Promote a culture of compliance with internal teams
- Identify opportunities to improve the efficiency and effectiveness of compliance and supervision systems
- Stay current on regulatory developments and maintain knowledge of internal policies, procedures, and industry practices
Requirements
- 5 years or more of relevant investment industry experience with a CIRO member firm or an ICPM acceptable to the Corporation, preferably in a compliance-related role
- CIRO Registration as a Supervisor
- Canadian Investment Regulatory Exam, Retail Securities Exam, and Supervisor Exam, with minimum two years of relevant experience acceptable to the Corporation; OR licensing within the last 3 years on the Investment Dealer side with CIRO and required CSI courses in good standing
- Options license or CIRO Derivatives exam is a strong asset
- CIM Designation and/or CFA Charter
- Strong knowledge of CIRO and CSA rules
- Strong analytical and critical thinking skills
- Ability to manage competing priorities in a dynamic environment
- Highly organized, detail-oriented, and able to prioritize and manage multiple tasks in a high-volume, fast-paced setting
- Excellent written and verbal communication skills
- Sound judgment and discretion when handling confidential information
- Proficiency in Microsoft Office Suite, including Outlook, Word, Excel, PowerPoint, and OneNote
- Bilingual in English and French strongly preferred
Benefits
- A work environment where learning and development merge with a collective pursuit of excellence
- A healthy, safe, fair, and inclusive environment
- Hybrid work 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
Job title
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