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Advisor Practice Compliance - Remote

Posted 2 days ago
Finance / Legal
Full Time
Canada

Overview

As an Advisor Practice Compliance, you will analyze business practices of advisors within various independent distribution networks and oversee daily operations in the mutual fund discipline as well as in securities.

In Short

  • Analyze business practices of advisors
  • Oversee daily operations in mutual funds and securities
  • Contribute to compliance framework design and implementation
  • Monitor supervisory measures of independent advisors
  • Provide advice in accordance with regulatory requirements
  • Develop tools and processes tailored to organizational needs
  • Collaborate with internal and external partners
  • Participate in training initiatives for stakeholders
  • Represent your unit on various committees
  • Ensure alignment with organizational standards

Requirements

  • Bachelor’s degree in a relevant field
  • Minimum of four years of relevant experience
  • Experience in audit or supervision
  • Completion of the Canadian Securities Course (CSC)
  • Completion of the Conduct and Practices Handbook Course (CPH)
  • Completion of Investment Dealer Supervisors Course (IDSC)
  • Completion of Derivatives Fundamentals and Options Licensing Course (DFOL)
  • Knowledge of French is required
  • Advanced intermediate proficiency in English
  • Action-oriented and customer-focused

Benefits

  • Competitive salary and annual bonus
  • 4 weeks of flexible vacation starting in the first year
  • Defined benefit pension plan
  • Group insurance including telemedicine
  • Reimbursement of health and wellness expenses
  • Telework equipment reimbursement
Desjardins Financial Security logo

Desjardins Financial Security

The Personal Insurance Company is a dedicated provider of insurance solutions, specializing in automobile liability and property insurance. With a strong emphasis on claims handling, the company ensures that clients receive thorough investigations and fair settlements in accordance with industry standards and regulations. The organization values expertise in medical and legal principles, and is committed to maintaining high levels of client satisfaction through effective negotiation and timely claims management. The Personal Insurance Company offers a supportive work environment with competitive benefits, including flexible vacation, a defined benefit pension plan, and health and wellness reimbursements.

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