Compliance Analyst

iA Financial Group (Industrial Alliance)

. Prepare, complete, and submit reports to internal stakeholders and regulatory authorities .

Posted 10/14/2026full-timeQuebec City • CanadaMid-LevelSeniorWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in compliance management, including the preparation of reports for regulatory authorities, monitoring conflicts of interest, and drafting compliance policies. Proficient in financial products and securities regulations, with strong analytical and problem-solving skills.

Highest-signal resume keywords

Compliance ManagementFinancial Products KnowledgeSecurities Regulations UnderstandingReport PreparationAnalytical Abilities

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Compliance Control TestingConflict-of-Interest ManagementReport SubmissionPolicy DraftingFinancial Analysis

Soft Skills

Attention to DetailInformation SynthesisProblem SolvingTeam CollaborationIndependent Work

Tools & Technologies

BloombergPower BIAnalytics ToolsData Science Tools

Certifications & Qualifications

CSI Global Education

Industry Keywords

Portfolio ManagementInvestment ComplianceRegulatory AuthoritiesSecurities FirmConflict Monitoring

About the role

Key responsibilities & impact

Prepare, complete, and submit reports to internal stakeholders and regulatory authorities
Contribute to processing and submitting employee registration filings to regulatory authorities
Monitor conflicts of interest, including personal trading, outside activities, gifts, and entertainment
Support development of the conflict-of-interest management tool
Perform and document compliance control testing
Identify gaps and contribute to follow-up of corrective measures
Draft and update internal compliance policies and procedures
Review advertising materials and social media content
Enhance the monitoring tool and open client accounts
Contribute to developing compliance training content
Support the Investment Compliance team in ensuring compliance with investment policies and monitoring breaches

Requirements

What you’ll need

Holds a university degree, preferably in business, finance, economics, accounting, law, or a related field
General understanding of the activities of a portfolio manager or another registered securities firm
Strong interest in expanding knowledge of portfolio management, compliance, and risk management
Good knowledge of financial products
Understanding of the roles of dealers, portfolio managers, investment fund managers, and custodians
Basic understanding of securities regulations applicable to portfolio management activities
Strong writing and information-synthesis skills
Attention to detail and solid analytical abilities
Ability to analyze situations, make recommendations, solve problems in a structured manner, and manage multiple files simultaneously
Ability to work independently while collaborating effectively within a team
Interest in continuous process improvement and practical solutions
Intermediate level of English required
Advanced level of French proficiency required
Knowledge of Bloomberg, Power BI, or other analytics and data science tools is an asset
CSI Global Education or other financial industry courses are an asset

Benefits

Comp & perks

A work environment where learning and development merge with a collective pursuit of excellence
AI tools to increase personal effectiveness and support organizational growth
Healthy, safe, fair, and inclusive work environment
Hybrid work environment with flexibility and access to inspiring and innovative workspaces
Flexible group insurance plans
Competitive retirement savings plan
Employee share purchase plan
Vacation program
Wellness days
Personal development days
Telemedicine services
Employee and Family Assistance Program
Ergonomic furniture program
Performance bonus
Discounts on iA products