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Bilingual Manager Compliance Specialist

2 months ago


Québec, Quebec, Canada IG Wealth Management Full time

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, as well as 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 related to regulatory guideline interpretation and inquiries regarding 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, and close supervision.
  • Identifying training requirements and 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, with the ability to communicate clearly and effectively with various levels of staff, including senior management, and being an effective listener.
  • Must have a positive and collaborative approach to teamwork.
  • Proven analytical and problem-solving skills, with well-developed organizational skills, 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 and English (open to candidates outside of Quebec). For candidates within Quebec, proficiency in the French language (speaking, reading, and writing) is mandatory.