Summary

Division: IGM Legal & Compliance Location: Montreal, Winnipeg or Toronto   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 Senior Compliance Specialist to join our Compliance Supervision – Practice Management 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 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   Position Summary:  The Senior Compliance Specialist will assist the Compliance Supervision Tier 1 team by performing initial reviews and risk assessments of various activities and reports across multiple compliance programs. They will identify, investigate, and report compliance issues, irregularities, and violations to the appropriate compliance manager. Additionally, they will support the daily compliance-related tasks of the broader Compliance Supervision team as needed.   Duties Include: Assist in the maintenance and administration of compliance reports and reporting as they relate to the Tier 1 Compliance Supervision Team Execute preliminary reviews of compliance related data using a risk-based approach across various platforms and escalate items of risk to the appropriate Manager for further review and assessment Collaborate with Compliance Supervision Team members on projects, activities, and other initiatives, including ad hoc team requirements Participate in internal compliance reviews or external regulatory audits conducted in head office or Branch/Sub-Branch office locations Qualification: 4+ years of experience in a financial services environment Completion of a post-secondary degree or diploma in a relevant business discipline Completion of and/or commitment to complete the Canadian Securities Course (CSC), Conduct and Practices Handbook (CPH) and Investment Dealer Supervisors Course (IDSC) within a specified timeframe   In-depth knowledge of the financial services industry, including a strong understanding of regulatory compliance requirements 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 Bilingual (French) would be considered a strong asset As this position is posted in Montréal, Toronto and Winnipeg, we specify that bilingualism (French, English, both oral and written) is required for Quebec only for the frequent interactions with English.   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 10, 2025.      #LI-KN1 #LI-Hybrid

Description

 

Division: IGM Legal & Compliance

Location: Montreal, Winnipeg or Toronto

 

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 Senior Compliance Specialist to join our Compliance Supervision – Practice Management 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 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

 

Position Summary:  The Senior Compliance Specialist will assist the Compliance Supervision Tier 1 team by performing initial reviews and risk assessments of various activities and reports across multiple compliance programs. They will identify, investigate, and report compliance issues, irregularities, and violations to the appropriate compliance manager. Additionally, they will support the daily compliance-related tasks of the broader Compliance Supervision team as needed.

 

Duties Include:

  • Assist in the maintenance and administration of compliance reports and reporting as they relate to the Tier 1 Compliance Supervision Team

  • Execute preliminary reviews of compliance related data using a risk-based approach across various platforms and escalate items of risk to the appropriate Manager for further review and assessment

  • Collaborate with Compliance Supervision Team members on projects, activities, and other initiatives, including ad hoc team requirements

  • Participate in internal compliance reviews or external regulatory audits conducted in head office or Branch/Sub-Branch office locations

Qualification:

  • 4+ years of experience in a financial services environment

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

  • Completion of and/or commitment to complete the Canadian Securities Course (CSC), Conduct and Practices Handbook (CPH) and Investment Dealer Supervisors Course (IDSC) within a specified timeframe  

  • In-depth knowledge of the financial services industry, including a strong understanding of regulatory compliance requirements

  • 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

  • Bilingual (French) would be considered a strong asset

As this position is posted in Montréal, Toronto and Winnipeg, we specify that bilingualism (French, English, both oral and written) is required for Quebec only for the frequent interactions with English.

 

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 10, 2025.   

 

#LI-KN1

#LI-Hybrid

 

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