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Division: IGM-Legal & CPLLocation: 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.
 
DEPARTMENT SUMMARY: The mandate of the Compliance Department is to ensure compliance with relevant regulatory requirements affecting mutual fund investment dealers including rules, policies, and by-laws of self-regulatory organizations of Canadian Investment Regulatory Organization (CIRO), the Autorité des marchés financiers (AMF), the Chambre de la sécurité financière (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 Compliance Investigator is responsible for completing investigations of complaints and internal investigations, including determining appropriate investigatory steps, conducting a review, adjudicating the merits of a complaint, completing settlement negotiations with clients, and conducting required follow up on issues raised in each case. The work involves conducting analysis of various sources of information including file documentation, reports, procedures, and interviews to identify trends or issues. The individual will be responsible for identifying appropriate corrective actions, communicating recommendations to affected parties and providing guidance to ensure corrective actions can be effectively implemented and well documented.
 
In addition, this individual will be responsible for managing communications received in the Senior and Vulnerable Client Financial Abuse mailbox, responding to and escalating reviews where warranted, providing leadership and guidance on sensitive issues, as well as recommending process/policy improvements and corrective actions.  
As this role requires bilingual communications, French speaking clients, Advisors, and Quebec regulators are a focus.
 
DUTIES INCLUDE:

Review and respond to communications received by the Senior and Vulnerable Client Financial Abuse mailbox including investigating concerns to determine next steps and provide guidance as needed primarily related to clients and Advisors based in Quebec
Actively participant in the Senior and Vulnerable working group, staying up to date on regulations involving Senior and Vulnerable clients and assist with creation of Senior and Vulnerable Client and webinars and training materials.

Develop effective relationships with Clients, Regional Management, Advisors and Regulators to ensure the timely resolution of complaints
Investigate complaint and internal investigation matters through direct contact with Clients, Advisors, Branch Managers, Regional Management, and other internal business units
Conduct a detailed review and analysis of complaints and internal investigations, adjudicate and recommend an appropriate course of action to resolve the matter.
Provide coaching and guidance to the Senior Compliance Specialist on the research and analysis required
Identify apparent trends and deficiencies that may have contributed to a complaint situation and recommend appropriate corrective action

Recommend solutions and participate in the implementation of process improvements and changes to policies and procedures

 
QUALIFICATIONS:

Minimum 7 years of experience in a financial services environment, preferably in a compliance-related role
Post-secondary degree in a relevant business discipline
Successful completion of industry courses, such as the Certified Financial Planners Program (CFP or equivalent program in Quebec) is considered an asset
Completion of or commitment to complete, Canadian Securities Course (CSC)
Life Licensing Qualification Program (LLPQ) or equivalent program in Quebec is an asset
In-depth knowledge of the financial services industry and an in-depth understanding of financial planning strategies
Understanding of rules, policies, and by-laws of CIRO, the AMF, the CSF, provincial securities commissions, insurance commissions/councils and other regulators
Excellent interpersonal, written and oral communication skills including the ability to communicate at the right level for the audience and present information in a convincing manner
Excellent problem solving, decision-making and organizational skills
Ability to prioritize and perform multiple tasks and deal with interruptions while working within a deadline-oriented environment
Proficiency in French and English languages (speaking, reading, and writing) 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.
 
 
 
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