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Compliance Officer
2 months ago
Job Summary:
IG Wealth Management is seeking a highly skilled and experienced Compliance Manager to join our team. As a key member of our compliance department, you will be responsible for ensuring that our business operations are in compliance with regulatory requirements and industry standards.
Key Responsibilities:
- Conducting tier 1 supervision activities, including reviewing daily and monthly trading, account opening, and KYC updates, outside activities, social media supervision, and service-related complaint resolution on either the investment dealer or mutual fund dealer platform, and/or both.
- Supporting IG Wealth Management registrants in resolving compliance issues with regulatory guideline interpretation and with inquiries relating to acceptance of unique or exceptional situations.
- Managing regulatory obligations and commitments, such as the 90-day training program, 6-month supervision, periodic on-site sub-branch visits, continuing education, as well as close supervision.
- Identifying training requirements, implementing, and coordinating the delivery of training programs.
- Participating in internal compliance reviews or external regulator audits conducted in Head Office or Branch/Sub-Branch office locations.
Qualifications:
- 7+ years of experience in a compliance-related environment.
- Post-secondary degree or diploma in a relevant business discipline.
- Must qualify to be immediately registered with CIRO as a supervisor for investments, mutual funds, or both.
- If currently qualified as a supervisor for mutual funds only, the candidate must commit to completing the following courses within 1 year from hire, including the Canadian Securities Course (CSC), Conduct and Practices (CPH), and Investment Dealer Supervisor Course.
- Will have to meet other continuing education requirements as required by the regulators.
- In-depth knowledge of the financial services industry, including understanding of regulatory requirements of CIRO, insurance commissions/councils, and other regulators.
- Strong oral, written, and communication skills, must be able to communicate clearly and effectively with various levels of staff, including senior management, along with being an effective listener.
- Must have a positive and collaborative approach to teamwork.
- Proven analytical and problem-solving skills. Well-developed organizational skills with the ability to prioritize, perform multiple tasks, deal with interruptions, and meet deadlines.
- Proficiency in Microsoft Word and Excel.
- The ability to communicate verbally and written in French & English (open to candidates outside of Quebec). For candidates within Quebec, proficiency in the French language (speaking, reading, and writing) is mandatory.
