Compliance Manager

2 weeks ago

Québec, Quebec, Canada IG Wealth Management Full time

Job Summary

We are seeking a highly skilled Compliance Manager to join our team at IG Wealth Management. As a key member of our compliance team, you will be responsible for ensuring that our business practices and operations are in compliance with regulatory requirements.

Responsibilities

  • Conduct tier 1 supervision activities, including reviews of 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.
  • Support IG Wealth Management registrants in resolving compliance issues with regulatory guideline interpretation and with inquiries relating to acceptance of unique or exceptional situations.
  • Manage 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.
  • Identify training requirements, implement, and coordinate the delivery of training programs.
  • Participate 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.

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