Responsable de la conformité

Review customer complaints in accordance with IIROC rules, including detailed file analysis, profit and loss calculation, compatibility analysis, and review of relevant correspondence.,Conduct internal reviews on broker conduct and customer transactions as needed.,Analyze evidence and documents to propose solutions for complaint resolution.,Draft correspondence with customers throughout the complaint handling process.,Prepare responses to information requests from regulatory bodies (e.g., OBSI) and orders for document production.,Monitor and document complaint handling processes to ensure timely and efficient review and resolution.,Process customer requests for personal information under PIPEDA, ensuring identity verification, accurate data retrieval, secure transmission, and compliance with privacy laws.,Provide administrative coordination and support for cyber incident management.,Act as a contact person and resource for all stakeholders.,Assist in implementing and enforcing the complaint handling policy and CPPM.,Actively participate in daily departmental meetings, developing and implementing proactive strategies to foster innovation, improve productivity, and achieve business objectives.,Collaborate flexibly with other departments and stakeholders to meet business needs.,Complete other assigned projects.

Proven excellent analytical, problem-solving, and communication skills.,In-depth knowledge of the mutual fund industry and products, including new and amended regulatory provisions.,Prior experience as a mutual fund broker or in securities compliance.,Solid understanding of IIROC regulations and regulatory filing requirements.,Strong written and oral communication skills for effective and professional interaction with clients, advisors, regulatory authorities, and management on complex topics.,Strong interviewing skills, including the ability to independently prepare and conduct interviews and assess reliability, credibility, and honesty.,Ability to work independently and under pressure, meeting strict deadlines.

Securities Trading Course (CSC) or IFIC Mutual Fund Course or equivalent, and Partners, Directors and Officers (PDO) Course, Mutual Fund Dealer Compliance Course or Branch Manager Course.