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Senior Specialist Compliance Only 24h Left
1 month ago
Requisition ID 13423 - 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.
Position Summary: The Senior Compliance Specialist will assist the Compliance Supervision Tier 1 team by performing initial reviews and risk assessments of various activities and reports across multiple compliance programs. They will identify, investigate, and report compliance issues, irregularities, and violations to the appropriate compliance manager. Additionally, they will support the daily compliance-related tasks of the broader Compliance Supervision team as needed.
Duties Include:
1. Assist in the maintenance and administration of compliance reports and reporting as they relate to the Tier 1 Compliance Supervision 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 Manager for further review and assessment
3. Collaborate with Compliance Supervision Team members 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, Power Point, Outlook, SharePoint and Teams, agile in learning new systems
7. Strong ability to exercise judgement and maintain confidentiality
8. Must have a positive attitude and collaborative approach to teamwork
9. Bilingual (French) would be considered a strong asset
As this position is posted in Montréal, Toronto and Winnipeg, we specify that bilingualism (French, English, both oral and written) is required for Quebec only for the frequent interactions with English.
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 an 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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