Vice-president, Wealth Dealer Compliance

Permanent Full Time

The Vice President, Wealth Dealer Compliance will ensure regulatory compliance control effectiveness for Quadrus Investment Service Ltd, IPC Investment Corporation, IPC Securities Corporation, Canada Life Securities Ltd, IPC Private Wealth and IPC One, and Exempt Market Dealer.

Reporting to the SVP and Head of Wealth Platforms, the VP will oversee 4 Chief Compliance Officers (CCO’s), representing each of the 4 primary dealers above as well as some shared service compliance teams. The VP is also responsible for the oversight of Wealth Dealer Compliance and for supporting Advisors in meeting their compliance obligations by delivering a best-in class first line compliance support model.

The VP will proactively lead engagement with different external regulatory functions, internal governance teams and non-regulatory functions. The VP represents Canada Life/IPC as a thought leader and active member of the conversation when influencing regulation or policies. The VP will also guide our Compliance strategy as we manage change.

**What you do**:

- Lead the Wealth Compliance organization, including leading the development and culture for large, evolving organizations
- Establish, implement and maintain a robust compliance culture, supported by the development of strong policies and procedures and codes of conduct, across:

- Mutual Funds
- Securities
- Discretionary platforms and practices
- Advisor Compliance:

- Ensure the Field is aware of principles and policies - accountable to ensure Advisors and Field Partners understanding of compliance requirements
- Enhancing Advisor Compliance and ensuring the organization meets our regulatory obligations through effective triaging of new requirements and building/launching processes, solutions, simplified templates, training and awareness, communications/materials and presentations
- Lead the oversight of the compliance organization, working with CCO’s to ensure adherence in all dealer environments to policies and procedures across areas of responsibility:

- Branch Review Programs
- Tier 1 and Tier 2 trade supervision
- Close supervision of Approved Persons
- Revisions to the Policies and Procedures Manual
- Registry of branch and sub-branch locations, market conduct, registrations, administration
- Marketing/advertisement material review
- Wealth Advisor Compliance - delivery of a best in class first line, compliance support model for Advisors across channels
- Develop and execute the strategy to transform and continually evolve the compliance function alongside Wealth Platform Transformation and changing regulatory environment including:

- Near-term actions to leverage best practices across Quadrus and IPC Compliance teams
- Re-organizing the compliance organization to better support evolving destination wealth platform
- Developing the approach and executing initiatives to meet changing regulatory expectations
- Liase with internal and external stakeholders to guide thought leadership to shape regulatory and complaince environments:

- Liaise regularly with Canadian and Enterprise Compliance, Risk and Legal Organizations to ensure that initiatives are understood and assessed for risk
- Actively participate on Corporate initiatives, representing the Dealers and Wealth Advisor Compliance to ensure effective design and execution
- Proactively interact with securities regulators and industry associations, including CIRO and provincial securities commissions

**What you will bring**:

- 15+ years of relevant, related experience with more than 10 years in mutual fund and securities sales compliance
- Designations:

- IFSE or CSI Officers, Partners, Directors Course and
- IFSE or CSI Mutual Fund Dealers Compliance Course and
- IFSE or CSI Investment Funds Course and
- IFSE or CSI Branch Manager's Course
- Law Degree, Member of a Provincial Bar in good standing, not mandatory, however considered an asset
- ** Collaborative Leadership**
- A drive for results and ability to contribute to change processes that improve organizational performance, creating a culture of accountability
- Skilled at developing individuals to reach their full potential. Creates a performance culture and empowers teams. A culture builder who is able to attract and retain top talent
- Influences and takes ownership in a matrix organization to facilitate collaboration and drive results
- ** Strategic Thinking and Innovation**
- Ability to function at a ‘big picture’ level, can develop and articulate a clear vision for the future, aligning departmental objectives with the organizational strategy
- Can anticipate issues and opportunities, understands how to mobilize teams and resources to manage and capitalize on new opportunities
- Strategic oversight to ensure the Dealer businesses are compliant with the necessary regulations and policies to manage risks to the business
- Able to convert complex regulations and business activities into thoughtful business recommendations for sen