Banking Jobs

Location: Montreal, Winnipeg

Division: IGM Legal and Compliance

IGM Financial Inc. is one of Canada’s leading diversified wealth and asset management companies with approximately $271 billion in total assets under managements.  The company provides a broad range of financial planning and investment management services to help more than two million Canadians meet their financial goals.  Its activities are carried out principally through IG Wealth Management and Mackenzie Investments

Under IGM Financial’s unique business model based on leading brands and multi-channel distribution strategy, we’re IG Wealth Management. For over 90 years of business, we have grown to become one of the largest most respected companies in Canada. We are a leader in providing the best advice, experience and outcomes for our clients, personalized throughout their lifetime.

At IG Wealth Management, our vision is to inspire financial confidence.

This is your opportunity to build a career with a leading organization where you can learn, grow and thrive both professionally and personally. We are proud to be recognized as one of Canada’s Top Employers by Mediacorp Canada Inc. for empowering our employees with the tools to thrive while working remotely, while also providing resources to ensure physical and mental wellness were put front and center.

You will join a team that believes our success starts with the success of our clients, while working together as a team to realize our greatest potential.  You will join a team that strives towards excellence while developing and sharing skills and knowledge. You can make a difference for our clients, the world around us and be part of a team that cares. We are dedicated to offering a hybrid work environment when applicable.

IG Wealth Management is a diverse workplace committed to doing business inclusively – this starts with having a representative workforce! We encourage applications from all qualified candidates that represent the diversity present across Canada – including racialized persons, women, Indigenous persons, persons with disabilities, 2SLGBTQIA+ community, gender diverse and neurodiverse individuals, as well as all who may contribute to the further diversification of ideas.

 
POSITION SUMMARY:

The Bilingual Compliance Investigator is primarily responsible for managing regulatory requests from all applicable regulators and oversight bodies as they relate to complaints and internal investigations, including acting as a liaison between IGWM and the various regulators and oversight bodies.

The work involves conducting analysis of various sources of information including file documentation, reports, and procedures, both current and historical in order to respond to regulatory inquiries, The Investigator provides guidance to Advisors, RVPs and field management about the regulatory process, investigatory steps and interview preparation including completing settlement negotiations as required. The individual will be responsible for communicating recommendations to affected parties and providing guidance to ensure corrective actions can be effectively implemented and well documented.

In addition, this individual will be responsible for managing communications received in the Compliance Investigations mailbox and establishing new complaint files where warranted.  This includes regulatory reporting and sending initial communications to advise clients, advisors, and internal stakeholders an investigation file has been opened.  As this role requires bilingual communications, French speaking clients, advisors, and Quebec regulators are a focus.

DUTIES INCLUDE:

Review and respond to communications received in Compliance Investigations mailbox, including investigating concerns to determine if a complaint file is warranted.

Establish new complaint files, complete regulatory reporting, and send initial communications to Clients & Field, and internal stakeholders primarily related to Advisors based in Quebec.

Review all regulatory inquiries from CIRO, OBSI, AMF, CSF, Securities Commissions, Insurance Councils, and other regulatory oversight bodies.

Review the analysis and conclusion of complaints and internal investigations as required.

Prepare, manage, and respond to all regulatory requests related to the complaint investigation files.

Retrieve all requested information from the complaint investigation file, client file, Head Office documentation, including Policy & Procedures.

Acts as Liaison with the Field (SVP, RVP, Advisors) on matters related to investigation file including proposed. settlements, guidance on regulatory interviews, enforcement, and disciplinary matters.

Communicate with Advisors, Regional Management and internal business partners and respond to all regulatory inquiries related to Compliance Investigations files.

Prepare draft responses to regulatory requests for Senior Manager’s review.

Correspond with Senior Management and Legal on escalated matters.

Manage and oversee the interviews and appeals process from OBSI, AMF, etc.

Recommend solutions and participate in the implementation of process improvements and changes to policies and procedures.

QUALIFICATIONS:

Minimum 7 years of experience in a financial services environment, preferably in a compliance-related role

Post-secondary degree in a relevant business discipline

Successful completion of industry courses is considered an asset.

Completion of or commitment to complete, Canadian Securities Course (CSC)

Life Licensing Qualification Program (LLPQ) or equivalent program in Quebec is an asset.

In-depth knowledge of the financial services industry and a good understanding of financial planning strategies

Understanding of rules, policies, and by-laws of CIRO, the AMF, the CSF, provincial securities commissions, insurance commissions/councils and other regulators

Excellent interpersonal, written and oral communication skills including the ability to communicate at the right level for the audience and present information in a convincing manner.

Excellent problem solving, decision-making and organizational skills.

Ability to prioritize and perform multiple tasks and deal with interruptions while working within a deadline-oriented environment

Proficiency in French and English languages (speaking, reading, and writing) is mandatory.

 
Please visit our career page by clicking on the following link: https://www.ig.ca/en/careers

We thank all applicants for their interest in IG Wealth Management; however only those candidates selected for an interview will be contacted.

IG Wealth Management is an accessible employer committed to providing a barrier free recruitment experience. If you require an accommodation or this information in an alternate format at any stage of the recruitment process, please reach out to the Talent Acquisition team who will work with you to meet your needs.

Please apply by May 6, 2024.

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