Location: New Brunswick, Newfoundland and Labrador, Nova Scotia or Prince Edward Island
Division: IGM Legal & 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, Mackenzie Investments and Investment Planning Counsel.
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 centre.
You will join a team that 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.
We are currently looking for a Manager, Compliance, to join our Compliance department located across Canada. The mandate of the Compliance Department is to ensure compliance with relevant regulatory requirements affecting investment dealers, including rules, policies and by-laws of the self-regulatory organization of the Canadian Investment Regulatory Organization (CIRO), provincial securities commissions, insurance commissions/councils and other regulators. The Department works closely with Distribution Leadership and other management to develop appropriate corporate policies, identifies and promotes good business practices, executes business review programs to monitor sales practices, manages client complaint resolution processes and conducts branch examination programs.
The Manager, Compliance, is registered to supervise the activities of IG Wealth Management registrants.
Conducting tier 1 supervision activities including; conducting reviews of daily and monthly trading, account opening and KYC updates, outside activities, social media supervision, and service-related complaint resolution on either the investment dealer or mutual fund dealer platform, and or both.
Supporting IG Wealth Management registrants in resolving compliance issues with regulatory guideline interpretation and with inquiries relating to acceptance of unique or exceptional situations.
Managing regulatory obligations and commitments, such as the 90-day training program, 6-month supervision, periodic on-site sub-branch visits, continuing education, as well as close supervision.
Identifying training requirements, implementing and coordinating the delivery of training programs.
Participating in internal compliance reviews or external regulator audits conducted in Head Office or Branch/Sub-Branch office locations.
7+ years of experience in a compliance-related environment.
Post-secondary degree or diploma in a relevant business discipline.
Must qualify to be immediately registered with CIRO as a supervisor for investments, mutual funds or both.
If currently qualified as a supervisor for mutual funds only, the candidate must commit to completing the following courses within 1 year from hire, including the Canadian Securities Course (CSC), Conduct and Practices (CPH), and Investment Dealer Supervisor Course.
Will have to meet other continuing education requirements as required by the regulators.
In-depth knowledge of the financial services industry, including understanding of regulatory requirements of CIRO, insurance commissions/councils and other regulators.
Strong oral, written and communication skills must be able to communicate clearly and effectively with various levels of staff, including senior management, along with being an effective listener.
Must have a positive and collaborative approach to teamwork.
Proven analytical and problem-solving skills. Well-developed organizational skills with the ability to prioritize, perform multiple tasks, deal with interruptions and meet deadlines.
Proficiency in Microsoft Word and Excel.
The ability to communicate verbally and written in French & English (opened to candidates outside of Quebec). For candidates within Quebec, proficiency in the French language (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 December 13, 2023.