Compliance

6 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.

The area of Regulatory Compliance & Risk Management ensures that IPC Securities Corporation (IPCSC) is meeting all industry and firm regulations. IPCSC is a member of the Canadian Investment Regulatory Organization (CIRO).

The Designated Supervisor of Managed Accounts is primarily responsible for supervising the managed account activities of the compliance team. Additionally, the Designated Supervisor of Managed Accounts is responsible for supporting an efficient and effective compliance program to help ensure the firm and Portfolio Managers/Associate Portfolio Managers adhere to all regulatory requirements, industry rules, and internal policies and procedures.

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

**What is the role of the Designated Supervisor Managed Accounts?**
- Perform daily trade and comprehensive quarterly reviews of client portfolios in accordance with Investment Policy Statements and the firm’s policies and procedures
- Review and approve advertisements, sales communications, and marketing activities
- Ensure branch level supervision is performed and compliance procedures are met for anti-money laundering, privacy, and other related federal and provincial regulatory requirements
- Perform detailed, more comprehensive supervision on assigned Advisors from time to time as required by the head office Compliance team
- Respond to supervisory and compliance-related questions from Advisors and branch office teams
- Proactively participate in the development of supervision and review systems for new managed account programs
- Participate in various compliance projects, assignments and initiatives as directed by the Chief Compliance Officer
- Participate in the development and delivery of training materials and programs to existing IPCSC advisors and branch managers
- Make recommendations where applicable for improvements to branch supervision guidelines and practices as required
- Perform reviews of all business locations being supervised on a rotational basis and reporting on the status of compliance - this function may require occasional travel
- Monitor for appropriate controls and other areas of potential risk and/or fraud
- Follow up with Advisors on Branch Audit findings to ensure required actions are taken and all issues are resolved on a timely basis

**What are the preferred qualifications?**
- Post-secondary degree in business, finance or economics
- Current Registration with CIRO as a Designated Supervisor of Managed Accounts
- Chartered Investment Manager Designation (CIM®) preferred
- Options Licensing required; Options Supervisors Course preferred
- Five years IIROC experience as a Compliance Officer in a branch or head office/corporate setting
- Familiarity with National Bank Independent Network (NBIN) back-office systems, procedures and reports an asset

**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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