Compliance Risk Officer

1 month ago

Quebec, Canada IGM Financial Full time
Bilingual Senior Compliance Specialist (13240)

Requisition ID 13240 - Posted - Location (3) - Canada - Province of Job Posting (3) - Career Site (2)

IGM Financial Inc. is one of Canada's leading diversified wealth and asset management companies with approximately $271 billion in total assets under management. 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. b>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.

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 Tier 1 Compliance team located across Canada. 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 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 Compliance Specialist will support the Tier 1 Compliance team by conducting preliminary reviews and risk assessments of various activities, reports across multiple compliance programs. They will identify, investigate, and report compliance-related issues, irregularities, and violations to the appropriate compliance manager. In addition, they will assist with daily compliance-related actions of the greater Tier 1 Compliance team as necessary.

Duties Include:

  1. Assist in the maintenance and administration of compliance reports and reporting as they relate to the T1 Compliance Team.
  2. Execute preliminary reviews of compliance-related data using a risk-based approach across various platforms and escalate items of risk to the appropriate T1 Compliance Manager for further review and assessment.
  3. Collaborate with the T1 Compliance team on projects, activities, and other initiatives, including ad hoc team requirements.
  4. Participate in internal compliance reviews or external regulatory audits conducted in head office or Branch/Sub-Branch office locations.
  5. Completion of a post-secondary degree or diploma in a relevant business discipline.
  6. In-depth knowledge of the financial services industry, including a strong understanding of regulatory compliance requirements.
  7. Demonstrated proficiency in PC applications, including Microsoft Word, Excel, PowerPoint, Outlook, SharePoint and Teams, agile in learning new systems.

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

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