Division: IGM Legal & Compliance
Location: Winnipeg
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.
The mandate of the Compliance Department is to ensure compliance with relevant regulatory requirements affecting mutual fund investment dealers, insurance and mortgage business partners, including rules, policies, and by-laws of the Canadian Investment Regulatory Organization (CIRO), the AMF, the CSF, 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 complaint resolution processes and conducts branch examination programs.
DEPARTMENT SUMMARY:
The mandate of the Compliance Department is to ensure compliance with relevant regulatory requirements affecting mutual fund investment dealers, insurance and mortgage business partners, including rules, policies, and by-laws of the Canadian Investment Regulatory Organization (CIRO), the AMF, the CSF, 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 complaint resolution processes and conducts branch examination programs.
POSITION SUMMARY:
The Senior Compliance Specialist reviews trade activity through daily and monthly reporting, analyzing transactions to identify trends and patterns to detect deficiencies and risks. In addition, the Senior Compliance Specialist may perform ad hoc analysis and reporting in response to specific inquiries from leadership.
DUTIES INCLUDE:
Using a risk-based approach, review the compliance dashboard in transact on a daily basis for the purpose of assessing suitability and reasonability of trades.
Identify unusual trends through the analysis of daily and monthly trade reports requiring the application of various skill sets including a strong understanding of sales practices, regulatory requirements, compensation and financial planning principles.
Identify items of interest and bring forward to the Tier 1 Compliance Managers and other compliance partners as needed.
Mentor and provide guidance to staff on unusual, sensitive and escalated cases, and determine appropriate corrective action plans.
Active involvement in projects and other compliance initiatives.
QUALIFICATIONS:
4+ years experience in the securities/mutual fund industry, preferably with exposure to a compliance environment.
Completion of a post-secondary degree in a relevant business discipline
Must be willing to agree to complete courses for Supervisor registration with CIRO.
Sound knowledge and experience with various types of investment products and investment platforms.
Demonstrated proficiency in effective verbal and written communication across various organizational levels.
Strong communication skills in English. French communication skills would be an asset.
Excellent organizational skills with the ability to prioritize and perform multiple tasks and deal with interruptions while working within strict deadlines.
Demonstrated proficiency with Microsoft Word, Excel, and Access as well as internal IG client systems (SAS, Transact, Advisor Portal, Trex)
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 March 7, 2025.
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