Territory Manager growing PMA’s premium spirits, wine, and beer portfolio across Northern Alberta. Managing outlet execution, inventory, depletions, and sales performance targets.
IA
Senior Managed Account Supervisor
Posted last month
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
Job type
Experience level
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Degree requirement
No Education Requirement
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