Compliance

5 months ago

Mississauga, 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, Branch Review - someone who can support the compliance and risk management function by executing and reporting on branch and sub-branch reviews (MFDA & IIROC) across IPC’s distribution network in accordance with applicable regulatory requirements. The primary mandate is to reduce overall risk to IPC by identifying and communicating instances of non-compliance and communicating these to advisors and solutions to resolve. Relationship building with Advisors and Corporate Branch Managers is essential to your success in this role.

**WE WANT YOU TO JOIN OUR TEAM OF WINNERS**

**What is the role of the Compliance Officer, Branch Review?**
- Perform onsite reviews of branches and sub-branches to detect potential issues and ensure compliance with IPC’s policies and procedures, SRO requirements (MFDA, IIROC), and other applicable regulatory rules (AML, PIPEDA)
- Interview Advisors and Corporate Branch Managers
- Review branch & sub-branch procedures to identify areas requiring improvement, potential risk practices, and instances of non-compliance
- Review books and records to ensure adherence to IPC policy and regulatory requirements
- Prepare and issue timely reports outlining the findings of the branch review
- Provide a formal written response to the Advisor and/ or Corporate Branch Manager outlining deficiencies and suggested actions to resolve while monitoring received responses until closing and a rating is assigned
- Work with Advisors and Corporate Branch Managers to implement solutions
- Prepare and deliver compliance training by preparing various presentations designed to assist our Advisors in managing their professional liability and protect their business, reduce common deficiencies, understand suitability requirements and KYC
- Provide information to Advisors and Corporate Branch Managers regarding compliance/regulatory matters and assist internal compliance team with daily activities
- Answer questions from internal and external individuals requiring information on industry regulation or IPC’s policies and procedures
- Assist with daily trade reviews as needed

**What traits and competencies should a Compliance Officer, Branch Review possess?**
- Ability to use time management skills to prioritize and meet tight deadlines
- Strong relationship-building skills with a commitment to establishing long-term Advisor relationships
- Ability to think critically and use sound judgment when supporting Advisors

**What are the preferred qualifications for a Compliance Officer, Branch Review?**
- Minimum 2 years of relevant experience within the Financial Industry, preferably within an MFDA or IIROC dealership
- Completion of the CSC or IFIC required
- Excellent time-management skills and ability to self-motivate
- Completion of the Branch Managers course or willingness to complete within a year
- Experience working in a Dealer Compliance environment (MFDA/IIROC) and knowledge of Univeris/NBIN/Portfolio Aid platforms or other back-office software solutions is an asset
- Strong knowledge of Microsoft Suite of products (Word, Excel, PowerPoint, Outlook)

**What is # lifeatIPC?**
- Awesome support in providing industry-leading 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, all-star 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._

If you require a French version of this job posting, please click here

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