Compliance

3 weeks 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

LI-Hybrid

  • Compliance

    1 week 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)...

  • Compliance

    3 weeks ago

    Mississauga, Canada Investment Planning Counsel Full time

    **Compliance Officer (Contract)** 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. With your background, skills and experience you’ve already found...

  • Compliance

    2 weeks 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, someone who is...

  • Compliance

    1 week ago

    Mississauga, Ontario, Canada Investment Planning Counsel Full time

    Compliance Officer (Contract)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.With your background, skills and experience you've already found success in...

  • 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...

  • Compliance

    2 months ago

    Mississauga, Canada Investment Planning Counsel Full time

    **Corporate Branch Manager, IPCIC** With your background, skills and experience you’ve already found success in the wealth management industry. Have you found your ideal firm, one that encourages you to pursue a balanced lifestyle as well as professional success? Our IPCIC Compliance team is currently growing! We are currently seeking a Corporate Branch...

  • Compliance

    2 days ago

    Mississauga, Canada Investment Planning Counsel Full time

    **Corporate Branch Manager, IPCIC** With your background, skills and experience you’ve already found success in the wealth management industry. Have you found your ideal firm, one that encourages you to pursue a balanced lifestyle as well as professional success? Our IPCIC Compliance team is currently growing! We are currently seeking a Corporate Branch...

  • Compliance

    1 week ago

    Mississauga, Ontario, Canada Investment Planning Counsel Full time

    Corporate Branch Manager, IPCICWith your background, skills and experience you've already found success in the wealth management industry. Have you found your ideal firm, one that encourages you to pursue a balanced lifestyle as well as professional success?Our IPCIC Compliance team is currently growing We are currently seeking a Corporate Branch Manager,...

  • Compliance Analyst

    1 week ago

    Mississauga, Ontario, Canada Alpha Employment Solutions Full time $50,000 - $55,000

    TITLE:ANALYST,REGULATORY AFFAIRS AND COMPLIANCEPLEASE NOTE: This role is ideal for recent paralegal graduates looking for a full-time position, or those completing placement hours aiming to transition into a full-time position within the company. Not suitable for individuals from medical or pharmaceutical backgrounds. The Analyst, Regulatory Affairs and...

  • Compliance Manager

    3 weeks ago

    Mississauga, Canada UniUni (Uni Express Inc.) Full time

    **Who Are We?** UniUni carries forward its energy and determination from Canada to the United States. UniUni’s innovative team and cutting-edge technology elevate and streamline delivery services in North America to meet customers’ demanding expectations. Aiming to be the leading provider of last-mile delivery, UniUni is at the beginning of elaborating...

  • Press Operator

    4 weeks ago

    Mississauga, Canada ICC Compliance Center Inc Full time

    **Job Title**: Press Operator (7” Mark Andy) **Reports To**: Production Manager **Effective Date**: Immediate **About Us** ICC Compliance Center was founded in 1987 with one principal in mind - to help our clients comply with dangerous goods regulations, whether they are handling, shipping or transporting dangerous goods by air, ground or sea. Over the...

  • Compliance Officer

    3 weeks ago

    Mississauga, Canada MINT Capital MIC Inc. Full time

    The Compliance officer will be responsible for managing compliance issues that arise in relation to: - Mortgage Investment Company (MIC) and Exempt market dealers and exempt offerings, - Review KYC and suitability assessments and AML inputs. - Prepare compliance-related filings and reports. - Maintain the firm’s compliance calendar and compliance...

  • Compliance Analyst

    4 weeks ago

    Mississauga, Canada Primerica Full time

    About this Position We are looking for a Compliance Analyst to join our Compliance department. Responsibilities and Qualifications **Responsibilities**: - Researching and analyzing applicable legislative and regulatory actions concerning segregated fund and insurance products, ancillary products, field operations and home office administration - Tracking...

  • Compliance Officer

    1 week ago

    Mississauga, Ontario, Canada Investment Planning Counsel Full time

    Compliance Officer (Contract) 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. With your background, skills and...

  • Compliance Analyst

    1 week ago

    Mississauga, Ontario, Canada Primerica Full time

    About this PositionWe are looking for a Compliance Analyst to join our Compliance Department.Responsibilities and QualificationsThis Role Includes Responsibilities for each of the Life Insurance Company, Investment Fund Manager and Mutual Fund Dealer:Responsibilities: Act as administrator and assist in the development and maintenance of the Company's...

  • Compliance Officer

    3 weeks ago

    Mississauga, Canada Embark Full time

    **Job Profile**: Compliance Officer **Compliance Officer** Full-time Reporting into Manager, Central Compliance At Embark Student Corp. (“Embark”) we’re on a journey to create an entirely new student experience. One that is built on instilling confidence in students around the paths they are choosing and their ability and agency to achieve their...

  • Compliance Assistant

    2 days ago

    Mississauga, Canada BCU Financial Full time

    **Overview**: Buduchnist Credit Union Limited, carrying on business as BCU Financial, is looking for a passionate full-time **Compliance Assistant **to join our growing team. As a **Compliance Assistant **with BCU Financial, you will be reporting to the Chief Compliance Officer to assist with and perform various compliance administrative activities in...

  • Compliance Officer

    3 weeks ago

    Mississauga, Canada Embark Full time

    Compliance Officer Application Deadline: 7 June 2024 Department: Compliance Employment Type: Full Time Location: Head Office Reporting To: Sarah Lyon Description Support Central Compliance and IFM Compliance management. Assist with the development, monitoring and reporting of Key Risk Indicators and Key Performance Indicators Measures Identify...

  • Compliance Officer

    3 weeks ago

    Mississauga, Canada Embark Full time

    Compliance Officer Application Deadline: 7 June 2024 Department: Compliance Employment Type: Full Time Location: Head Office Reporting To: Sarah Lyon Description Support Central Compliance and IFM Compliance management. Assist with the development, monitoring and reporting of Key Risk Indicators and Key Performance Indicators Measures Identify...

  • Compliance Officer

    4 weeks ago

    Mississauga, Canada Edward Jones Full time

    **Want a meaningful career where you can make a difference? Edward Jones sounds perfect for you.** Collaboration. Autonomy. Opportunity. Words our headquarters associates use when talking about working at Edward Jones. Words that describe what it's like being part of a firm where everyone is aligned toward a singular focus: serving the client. And everyone...