Summary

Division: IGM- Legal & Compliance Location: Montreal or 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.   We are currently looking for a bilingual Senior Compliance Specialist to join our Compliance Advisory team. The mandate of the Compliance Department is to ensure compliance with relevant regulatory requirements affecting investment dealers, including rules, policies, and by-laws of CIRO, provincial securities commissions, insurance commissions/councils and other regulators. The Compliance 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.   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 business practice, approving business submissions and implementing supervisory programs.   The 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:  Review and respond to communications received in the Compliance, IG Mailbox Oversight of the advisor's practice which include financial planning and business approvals. 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, and/or regulators. Communicate with Advisors, Regional Management and internal business partners Mentor and provide guidance to junior staff on unusual, sensitive, and escalated cases, determine appropriate corrective actions.      QUALIFICATIONS:  4+ years of experience in a financial services environment Completion of a post-secondary degree in a relevant business discipline. Completion of and/or commitment to complete the Canadian Securities Course (CSC) In-depth knowledge of 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 and other regulators. Proven analytical and problem-solving skills.  Well-developed organization and time-management skills with the ability to prioritize, perform multiple tasks, deal with interruptions, and meet deadlines with limited supervision. Demonstrated proficiency in PC applications, including Microsoft Word, Excel, Power Point, Outlook, SharePoint and Teams, agile in learning new systems Strong ability to exercise judgement and maintain confidentiality  Must have a positive attitude and collaborative approach to teamwork   Knowledge of French and English is required to support clients and Team members within and/ or outside the province of Quebec   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 10, 2024.    #LI-KN1 #LI-Hybrid

Description

 

Division: IGM- Legal & Compliance

Location: Montreal or 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.

 

We are currently looking for a bilingual Senior Compliance Specialist to join our Compliance Advisory team. The mandate of the Compliance Department is to ensure compliance with relevant regulatory requirements affecting investment dealers, including rules, policies, and by-laws of CIRO, provincial securities commissions, insurance commissions/councils and other regulators. The Compliance 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.

 

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 business practice, approving business submissions and implementing supervisory programs.

 

The 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: 

  • Review and respond to communications received in the Compliance, IG Mailbox

  • Oversight of the advisor’s practice which include financial planning and business approvals.

  • 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, and/or regulators.

  • Communicate with Advisors, Regional Management and internal business partners

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

 

QUALIFICATIONS: 

  • 4+ years of experience in a financial services environment

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

  • Completion of and/or commitment to complete the Canadian Securities Course (CSC)

  • In-depth knowledge of 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 and other regulators.

  • Proven analytical and problem-solving skills.  Well-developed organization and time-management skills with the ability to prioritize, perform multiple tasks, deal with interruptions, and meet deadlines with limited supervision.

  • Demonstrated proficiency in PC applications, including Microsoft Word, Excel, Power Point, Outlook, SharePoint and Teams, agile in learning new systems

  • Strong ability to exercise judgement and maintain confidentiality 

  • Must have a positive attitude and collaborative approach to teamwork
     

Knowledge of French and English is required to support clients and Team members within and/ or outside the province of Quebec

 

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 10, 2024. 

 

#LI-KN1

#LI-Hybrid

 

Share on LinkedInShare on FacebookTweet about this on Twitter