Advisor Practice Compliance

As a Advisor Practice Compliance, you will analyze business practices of advisors within various independent distribution networks. You will be responsible for overseeing daily operations in the mutual fund discipline as well as in securities.
In this role, you will contribute to the design, implementation, and coordination of the compliance framework, and ensure the application of the related rules. You will monitor supervisory measures, particularly the behavior of independent advisors, to ensure alignment with organizational standards.
You will analyze and help diagnose issues, provide advice in accordance with regulatory requirements, and participate in the development of recommendations and implementation plans. You will also develop tools, methods, and processes tailored to the needs of the organization. Your projects and initiatives will require in-depth expertise in your field.

• Design, improve, implement, and monitor action plans, programs, solutions, or tools related to legal and regulatory compliance to ensure consistency and balance between business needs and compliance requirements.

• Diagnose issues, challenges, needs, and problems in your area of expertise to define desired outcomes.

• Analyze information, conduct studies, and develop recommendations to support the development of best practices for the organization.

• Collaborate on initiatives aimed at raising awareness and disseminating information or training to internal stakeholders to promote a culture of ethics and compliance.

• When applicable, monitor business line activities.

• Collaborate with various internal and external partners and stakeholders on assigned mandates.

• Represent your unit on various committees, within organizational units, and with different stakeholders.

What we offer*

• Competitive salary and annual bonus

• 4 weeks of flexible vacation starting in the first year

• Defined benefit pension plan that provides predictable, stable income throughout retirement

• Group insurance including telemedicine

• Reimbursement of health and wellness expenses and telework equipment

* Benefits apply based on eligibility criteria.

What you bring to the table

• Bachelor's degree in a related field

• A minimum of four years of relevant experience

• Please note that other combinations of qualifications and relevant experience may be considered

• Knowledge of French is required

• Experience in audit or supervision

• Completion of the Canadian Securities Course (CSC)

• Completion of the Conduct and Practices Handbook Course (CPH)

• Completion Investment Dealer Supervisors Course (IDSC)

• Completion (or commitment to quickly complete) the Derivatives Fundamentals and Options Licensing Course (DFOL)

• Knowledge of French is required for positions in Quebec

• Intermediate advanced proficiency of English due to the nature of the duties or work tools or because the position involves interactions with English-speaking partners, members and/or clients

Trade Union (If applicable)

At Desjardins, we believe in equity, diversity and inclusion. We're committed to welcoming, respecting and valuing people for who they are as individuals, learning from their differences, embracing their uniqueness, and providing a positive workplace for all. At Desjardins, we have zero tolerance for discrimination of any kind. We believe our teams should reflect the diversity of the members, clients and communities we serve.

If there's something we can do to help make the recruitment process or the job you're applying for more accessible, let us know. We can provide accommodations at any stage in the recruitment process. Just ask

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