Director, Tier 1 Supervision

iA Financial Group (Industrial Alliance)

. Design and maintain the Business Conduct & Tier 1 Surveillance Program for all registered branches across Canada .

Posted 10/16/2026full-timeMontreal • CanadaLead💰 CA$130,000 - CA$160,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates extensive experience in compliance management and regulatory oversight, with a strong focus on developing and maintaining surveillance programs. Proficient in training and leading teams while effectively communicating with regulatory organizations and stakeholders.

Highest-signal resume keywords

10+ Years Of Relevant Securities ExperienceExperience Dealing With Regulatory OrganizationsStrong Communication And Presentation SkillsFluent In FrenchStrong Problem-Solving Skills

ATS Keywords

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Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills

Compliance ReportingRegulatory InquiriesPolicy DevelopmentTrade SurveillanceBranch Management

Soft Skills

Leadership SkillsCuriosityStrong Industry Knowledge

Certifications & Qualifications

Bachelor Or College Degree

Industry Keywords

IIROCAMFOSCOBSICompliance

About the role

Key responsibilities & impact

Design and maintain the Business Conduct & Tier 1 Surveillance Program for all registered branches across Canada
Manage a team of three Senior Branch Managers, 40–45 Branch Managers and Branch Administrators
Oversee day-to-day system integrity of compliance reporting, product due diligence, regulatory inquiries and support of all compliance areas
Support Senior Branch Managers and Branch Managers in servicing advisors and branches
Manage the branch visit program, including supervision of frequency and scheduling
Develop and recommend policy and procedure changes based on regulatory events
Monitor new or proposed regulatory policies and industry trends and analyze their impact on the trade surveillance program
Train and develop Tier 1 employees
Draft and distribute Compliance memos
Act as the Compliance subject matter expert on firm initiatives
Update policies, procedures and forms as needed

Requirements

What you’ll need

10+ years of relevant securities experience
Bachelor or College Degree
Curiosity and strong leadership skills
Experience dealing with regulatory organizations including IIROC, AMF, OSC and OBSI
Strong problem-solving skills
Strong industry knowledge across a number of products
Strong communication and presentation skills
Fluent in French
Advanced level of English
Availability to travel occasionally

Benefits

Comp & perks

A work environment where learning and development merge with a collective pursuit of excellence
A healthy, safe, fair, and inclusive environment where potential can be freely expressed and developed
The opportunity to work in a hybrid 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