Branch Review Compliance Officer

Job Description

Build the Future With Us

Are you passionate about regulatory compliance and eager to contribute to an organization whose purpose is to help clients feel confident and secure about their future?

As a Branch Review Compliance Officer, you will play a key role in conducting branch reviews, identifying opportunities for improvement, and supporting representatives and their teams in strengthening their compliance practices. Through your work, you will help protect clients’ interests, promote high standards, and reinforce compliance as a strategic contributor to the organization’s success.

This position offers an excellent opportunity to showcase your audit expertise, mutual fund industry knowledge, sound judgment, and coaching abilities while fully realizing your potential within an organization that values high performance, learning agility, inspired teams, and client centricity. You will join a team that is modernizing its ways of working through a digital approach, lean methodology, new dashboards, and the continued integration of artificial intelligence.

What You Will Accomplish With Us

As a Branch Review Compliance Officer, you will be at the heart of our mission. Your key responsibilities will include:

- Leading branch reviews, identifying compliance gaps, translating findings into actionable improvements, and verifying that the required corrective measures have been implemented;
- Educating and coaching representatives and their staff to turn branch reviews into learning opportunities and strengthen the consistency of compliance practices across regions;
- Preparing clear, constructive, and insightful reports that connect identified issues to business risks and client impacts while guiding timely and tangible corrective actions;
- Partnering with Audit Team Leaders and Regional Compliance Leaders to analyze situations, resolve problems, and recommend practical and creative solutions;
- Building trusted relationships with representatives through active listening, direct communication, and a collaborative approach, particularly when addressing reluctance or resistance;
- Supporting special Head Office projects that help shape how compliance enables the organization’s growth;

What Could Help Accelerate Your Success in This Role

We are looking for someone who:

- Is recognized for their autonomy, sense of ownership, and ability to conduct branch reviews independently while collaborating effectively with auditors, coaches, and leaders;
- Stands out for their in-depth knowledge of the mutual fund industry and their experience in registrant audit functions;
- Demonstrates excellent oral and written communication skills that support collaboration, coaching, and problem-solving;
- Is known for their ability to build trust, engage representatives in productive dialogue, and communicate the strategic value of compliance;
- Possesses three to five or more years of experience in registrant audit functions;
- Holds a post-secondary degree in business, finance, economics, or a related field;
- Holds CIRO or CSI certifications or is motivated to obtain them;
- Demonstrates a self-starter mindset, strong organizational skills, and the ability to manage their own schedule;
- Is comfortable travelling approximately 50% of the time throughout Western Canada;
- Is proficient with Microsoft Word, Excel, Outlook, and Teams and demonstrates curiosity about new systems;

Why You’ll Love Working With Us

- A work environment where learning and development are combined with a collective pursuit of excellence;
- Artificial intelligence tools are available to everyone, helping increase personal efficiency and support organizational growth;
- A healthy, safe, equitable, and inclusive workplace where individuals can freely express and develop their full potential;
- The opportunity to work in a hybrid environment, supported by flexibility and access to inspiring and innovative workspaces;

Competitive Benefits Package

- Flexible group insurance plans;
- Competitive retirement savings plan;
- Employee share purchase plan;
- Vacation program and wellness and personal development days;
- Telemedicine services;
- Employee and Family Assistance Program;
- Ergonomic furniture program;
- Performance bonus program;
- Discounts on iA products;
- And much more!

Apply Today and Take the Lead in Your Career

Join a place where your talent truly matters.

Not Sure About Applying?

At iA, we believe in potential and value diverse experiences. If this opportunity inspires you, we encourage you to apply. Your place may be with us, and we would love to get to know you.

The typical hiring range for this position is 58 422$ to 108 422$ CAD per year. The offered base salary may vary depending on factors such as job-related knowledge, skills, years of experience, and internal equity. At iA, we are committed to providing a fair, equitable, and market-based compensation structure. Our market data is updated annually to reflect the most current market conditions.

## Location(s)
Vancouver / 988 Broadway West

Other Possible Location(s)

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## Company
Investia Financial Services Inc.

## Posting End Date
2026-10-12

Company Overview

iA Financial Group* is the strength of a company with a human side, with its over 8,000 employees. Together, we have earned the trust of our more than four million clients and 25,000 advisors who have chosen us for their insurance, savings, and wealth management.

With over $200 billion in assets and half a billion invested in technological innovation, we’re a key player in the financial services industry in Canada and the United States. The secret to our success? Investing in you, one person at a time. Because, for over 125 years, we have believed that it’s by supporting our employees and surrounding ourselves with the most reputable leaders in the industry, we will continue to innovate.

At iA, we’re invested in you.

* iA Financial group includes of the following entities: iA Services financiers, iA assurance auto et habitation, iA Gestion privée de patrimoine, PPI Management, Investia, iA Gestion de placements, Prysm, iA Clarington, Michel Rhéaume et associés, Garanties Nationales, WGI Manufacturing, WGI Service Plan Division, Lubrico, iA Financement auto

Our Commitment to Diversity and Inclusion

At iA Financial Group, we support and celebrate diversity. We strive to provide a workplace that is recognized as inclusive for all, regardless of ethnic origin, nationality, language, religious beliefs, gender, sexual orientation, age, marital status, family situation, or physical or mental disability.

Please note that if you need help or assistance to make the recruitment process more accessible for you, please Contact us here . Someone from our team will be happy to assist you with your needs.