Leadership Jobs

Division: IGM-Legal & Compliance

Location: Montreal or Winnnipeg

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.  
 

Department Summary: 

The mandate of the Compliance Department is to ensure compliance with relevant regulatory requirements affecting mutual fund and investment dealers as well as insurance and financial planning firms.

Within this scope are adherence to rules, policies, and by-laws of the self-regulatory organizations (CIRO, CSF), provincial securities commissions, and insurance commissions/councils. The Financial Planning Standards Council and the Institute of Financial Planning. 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, and manages client complaint resolution processes.

Position Summary: 

The Senior Compliance Specialist is responsible for the oversight of the advisor’s business activities and executing various compliance programs such as reviews of the insurance business practice and implementing supervisory programs. Work involves conducting analysis of various sources of information including file documentation, reports, audit procedures, and interviews to identify trends or issues. The Senior Compliance Specialist is responsible for identifying appropriate corrective actions, communicating recommendations to affected parties, and following up to ensure that corrective actions are effectively implemented and well documented. 

Duties Include: 

Oversight of the advisor’s practice with an emphasis on the supervision of insurance, financial planning, mortgage, and banking solutions.

Lead Compliance Practice Review programs (develop an action plan, execute the program, monitor to resolve issues, and report on results)

Provide guidance and direction to the field including recommendations on remedial actions, including meetings or conference calls, training presentations, and exception approvals, to assist with the resolution of deficiencies. 

Prepare management reports on completed programs for distribution to senior management, field directors, and/or regulators. Monitor progress on corrective actions. 

Mentor and provide guidance to junior staff on unusual, sensitive, and escalated cases, determine appropriate corrective actions.   

Qualifications: 

Minimum 5 years of experience in a financial services environment preferably with relevant licensed experience in insurance, investment industry, or in a compliance-related role.

Completion of a post-secondary degree in a relevant business discipline.

Completion of or commit to complete the Life Insurance Course (LLQP), and the Certified Financial Planners Program (CFP or equivalent program in Quebec) within a specified timeframe.

In-depth knowledge of financial planning strategies 

In-depth knowledge of the financial services industry, including an understanding of regulatory requirements of the Insurance councils, CIRO, and other regulators 

Proficiency in Microsoft Word, Excel, and internet research

Proficiency in the French language (speaking, reading, and writing).

Ability to communicate verbally and in writing in English. 

Comfortable with public speaking and/or presenting to large groups.

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 April 29, 2024. 

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