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Regulatory Compliance Specialist

1 week ago

Québec, Quebec, Canada IGM Financial Full time

IGM Financial Inc. is a leading diversified wealth and asset management company.

About the Role

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.

Key Responsibilities:

  • Assist in the maintenance and administration of compliance reports and reporting as they relate to the Tier 1 Compliance Supervision Team
  • 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
  • Collaborate with Compliance Supervision Team members on projects, activities, and other initiatives, including ad hoc team requirements

Qualifications:

  • 4+ years of experience in a financial services environment
  • Completion of a post-secondary degree or diploma in a relevant business discipline
  • Knowledge of regulatory compliance requirements in the financial services industry
  • Proven analytical and problem-solving skills
  • Proficiency in PC applications, including Microsoft Office and SharePoint