Senior Manager, Compliance Lead

1 week ago

Old Toronto, Ontario, Canada IG Wealth Management Full time

About the Role

As a Senior Manager, Compliance, you will oversee a team responsible for monitoring and supervising business activities from a Tier 1 perspective for both dealers. You will lead and guide staff to handle sensitive issues, manage resources, ensure consistent protocols and guidelines are applied, identify trends, and recommend process/policy improvements and corrective actions.

Key Responsibilities

  • Manage, coach, and prioritize workload for a team of registered Tier 1 Compliance Managers to ensure all regulatory and internal policy requirements are being met, including daily and other periodic reviews.
  • Provide direction and leadership to Tier 1 Compliance Managers. Handle escalated and sensitive cases.
  • Report to the Assistant Vice-President, Compliance on risks and trends observed in monitoring activity and recommend corrective action.
  • Participate in cross-division teams dealing with strategic initiatives, projects, or other mandates.
  • Respond to both internal and regulatory inquiries related to compliance business reviews.
  • Develop effective relationships with Tier 1 Compliance Managers and ensure timely resolution of inquiries and escalations.
  • Travel may be required.

Requirements

  • Minimum of 10 years of experience in a financial services environment, preferably in a compliance-related role.
  • Leadership experience including staff performance, development, and coaching.
  • Post-secondary degree or diploma in a relevant business field an asset.
  • Completion of industry-related courses including the Canadian Securities Course (CSC), Investment Dealer Supervisors Course (IDSE), and the Conduct and Practices Handbook (CPH).
  • CIM or CFA designation an asset.
  • In-depth knowledge of the financial services industry, including understanding of regulatory requirements.
  • Proficiency in Microsoft Word and Excel.
  • Strong oral and written communication skills in both French and English.
  • Excellent organizational skills with the ability to prioritize and perform multiple tasks.

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