Bilingual Senior Compliance Specialist

4 weeks ago

Québec, Quebec, Canada IGM Financial Full time
Career Opportunities: Bilingual Senior Compliance Specialist (13240)

Requisition ID 13240 - Location: Canada

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, we have grown to become one of the largest and most respected companies in Canada. We are a leader in providing the best advice, experience, and outcomes for our clients, personalized throughout their lifetime.

At IG Wealth Management, our vision is to inspire financial confidence.

This is your opportunity to build a career with a leading organization where you can learn, grow, and thrive both professionally and personally. 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.

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.

Position Summary: The Compliance Specialist will support the Tier 1 Compliance team by conducting preliminary reviews and risk assessments of various activities and reports across multiple compliance programs. They will identify, investigate, and report compliance-related issues, irregularities, and violations to the appropriate compliance manager. Additionally, 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.

Qualifications:

1. 4+ years of experience in a financial services environment.
2. Completion of a post-secondary degree or diploma in a relevant business discipline.
3. Completion of and/or commitment to complete the Canadian Securities Course (CSC), Conduct and Practices Handbook (CPH), and Investment Dealer Supervisors Course (IDSC) within a specified timeframe.
4. In-depth knowledge of the financial services industry, including a strong understanding of regulatory compliance requirements.
5. Proven analytical and problem-solving skills. Well-developed organization and time-management skills with the ability to prioritize, perform multiple tasks, deal with interruptions, and meet deadlines with limited supervision.
6. Demonstrated proficiency in PC applications, including Microsoft Word, Excel, PowerPoint, Outlook, SharePoint, and Teams; agile in learning new systems.
7. Strong ability to exercise judgment and maintain confidentiality.
8. Must have a positive attitude and collaborative approach to teamwork.
9. Knowledge of French and English is required to support clients and team members within and/or outside the province of Quebec.

We thank all applicants for their interest in IG Wealth Management; however, only those candidates selected for an interview will be contacted.

IG Wealth Management is an accessible employer committed to providing a barrier-free recruitment experience. If you require accommodation or this information in an alternate format at any stage of the recruitment process, please reach out to the Talent Acquisition team who will work with you to meet your needs.

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