Compliance

1 week ago

Mississauga, Ontario, Canada Investment Planning Counsel Full time
Investment Planning Counsel (IPC) is one of the fastest growing independent wealth management companies in Canada.

We are a diverse group of people all driven towards one goal:
helping advisors build a better business through a remarkable client experience.


Our Compliance team is currently growing We're seeking a Compliance Officer, someone who is focused on Tier 2 supervision and developing strong relationships with Advisors and Branch Managers in regulatory compliance and risk management.

The goal of this role is to ensure that registrants of both our firms, IPC Investment Corporation (IPCIC) and IPC Securities Corporation (IPCSC) are following the firms' policies and procedures as well as the rules, regulations, policies and by-laws of the New SRO of Canada (formerly MFDA and IIROC) and other applicable securities legislation.


WE WANT YOU TO JOIN OUR TEAM OF WINNERS
At Investment Planning Counsel we've designed every aspect of the Compliance Officer role with you in mind.

What is the role of the Compliance Officer?

  • Conduct daily Tier 2 Trade Supervision
  • Review Monthly and Quarterly trend reports
  • Monitoring for compliance with IPCIC, IPCSC and New SRO standards (MFDA Policy No. 2 & IIROC Rule 3900), IPC's Supervision Guide & Standard Operating Procedures and IPC's National Policies and Procedures Manuals
  • Following up, monitoring, and tracking inquiries and deficiencies, taking corrective action
  • Provide review/approval of leverage proposals and transactions in leveraged accounts
  • Maintain accurate and timely recordkeeping of trade reviews performed and trade inquiries issued, and providing management oversight reports as requested
  • Respond to inquiries from Advisors, Advisor Support Professionals, Branch Managers, and head office staff in a timely and effective manner, providing clarification and interpretation of firm policies and applicable industry and regulatory requirements
  • Support Branch Managers by generating and issuing timely reporting to assist with Tier 1 Supervision
  • From time to time assist with resolving regulatory inquiries from the New SRO (MFDA and IIROC) and special compliance projects, assignments, or reports

What traits and competencies should a Compliance Officer possess?

  • Ability to use time management skills to prioritize and meet tight deadlines
  • Relationshipbuilding skills with a commitment to establishing longterm Advisor relationships
  • Ability to think critically and use sound judgment when supporting Advisors

What are the preferred qualifications for a Compliance Officer?

  • Minimum 3 years of Compliance experience in the Financial industry, preferably with an MFDA or IIROC dealer.
  • Post-Secondary education
  • Completion of the Canadian Securities Course (CSC), Conduct and Practices Handbook Course (CPH), Branch Managers Course (CSI) and/or IFSE equivalents is mandatory
  • Applicable proficiencies to supervise sale of Alternative Funds and ETFs or ability to obtain within 3 months
  • Knowledgeable in mutual fund and/or investment dealer Sales Practices rules and regulation Including general familiarity with regulations concerning federal and provincial legislation covering antimoney laundering, privacy and other related compliance matters.
  • Experience working in an MFDA or IIROC Dealer Compliance environment with a good working knowledge of Univeris, Portfolio Aid and/or other backoffice software solutions preferred
  • Excellent timemanagement skills and ability to selfmotivate
  • Strong knowledge of Microsoft Suite of products (Word, Excel, Power Point, Outlook)
  • 12 month Contract

What is # lifeatIPC?

  • Awesome support in providing industryleading training to help you succeed in your role
  • Awesome community involvement opportunities through IPC Cares
  • Awesome perks: benefits that fit your needs, pension, share purchase plan, corporate discount plans, social events, summer hours, and fun
  • Awesome recognition: kudos, allstar program, rising star, and the circle of excellence
  • Awesome Leadership teams that know your name
  • If someone you know sounds like a great fit for this role, send them this job posting and encourage them to apply_
  • If you continue in the selection process, please notify us of any particular accommodation you might require. Any information you send us will be treated with complete confidence._
- _________________


Investment Planning Counsel (IPC) est l'une des entreprises indépendantes de gestion de patrimoine qui connaît la croissance la plus rapide au Canada.

Nous sommes des gens provenant de divers horizons, mais qui travaillent tous à un même objectif :
aider des conseillers et des conseillères à bâtir leur entreprise grâce à une expérience client exceptionnelle.

L'équipe du Service de la Conformité est en expansion Nous sommes à la recherche d'un chef de la conformité, qui se concentre sur la supervision de niveau 2 et l'établissement de solides relations avec l

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