Senior Compliance Specialist

Location: Montreal or Winnipeg

IGM Financial Inc. is a leading wealth and asset management company in Canada, managing approximately $271 billion in assets. It offers financial planning and investment services to over two million Canadians through IG Wealth Management and Mackenzie Investments.

Founded in 1926, Investors Group is a key part of IGM's business model, providing comprehensive wealth management services to Canadian financial advisors and their clients.

With a vision to inspire financial confidence, Investors Group is recognized as one of Manitoba's Top Employers, Canada's Top 100 Employers, and Best Diversity Employers, aiming to innovate the industry and support Canadians in achieving their financial goals.

Join our team to engage in continuous learning and skill development in a supportive environment. Experience the best of both worlds with our hybrid work environment, where you spend three days a week in the office, connecting, collaborating, and enjoying quality time with your amazing colleagues Our Values: Be better; we strive for improvement in everything we do. Be accountable; we foster clarity and are empowered to act responsibly. Be a team; we are united to drive collective impact to achieve our goals.

IG Wealth Management is a diverse workplace committed to doing business inclusively - this starts with having a representative workforce We encourage applications from all qualified candidates that represent the diversity present across Canada – including racialized persons, women, Indigenous persons, persons with disabilities, 2SLGBTQIA+ community, gender diverse and neurodiverse individuals, as well as all who may contribute to the further diversification of ideas.

Department Summary:

The mandate of the Compliance Department is to ensure compliance with relevant regulatory requirements affecting investment dealers, including rules, policies and by-laws of the Canadian Investment Regulatory Organization (CIRO), provincial securities commissions, insurance commissions/councils and other regulators. The Department works closely with Distribution Leadership and other management to develop appropriate corporate policies, identifies and promotes good business practices, executes business review programs to monitor sales practices, manages client complaint resolution processes and conducts branch examination programs.

Position Summary:

The Senior Compliance Specialist is responsible for the oversight of the advisor's business activities and executing various compliance programs such as reviews of the insurance business practice and implementing supervisory programs. Work involves conducting analysis of various sources of information including file documentation, reports, audit procedures, and interviews to identify trends or issues. The Senior Compliance Specialist is responsible for identifying appropriate corrective actions, communicating recommendations to affected parties, and following up to ensure that corrective actions are effectively implemented and well documented.

Duties Include:

• Provide oversight of advisors' practices, with an emphasis on the supervision of insurance, financial planning, mortgage, and banking solutions.
• Offer guidance and direction to field teams, including recommendations for remedial actions through meetings, conference calls, training sessions, and exception approvals to address identified deficiencies.
• Prepare and distribute management reports on completed programs to senior management, field directors, and regulators, while monitoring the progress of corrective actions.
• Review policies and procedures to identify gaps, assess effectiveness, and recommend enhancements to strengthen compliance and operational efficiency.
• Mentor and support junior staff in managing complex, sensitive, or escalated cases, providing direction on appropriate corrective measures.

Qualifications:

• Minimum of five years of experience in a financial services environment, preferably with relevant licensing experience in the insurance, investment, or compliance sectors.
• Post-secondary degree in a relevant business discipline.
• Completion or commitment to complete the Life License Qualification Program (LLQP) within a specified timeframe.
• Certified Financial Planner (CFP) designation or Qc Pl. Fin license are considered an asset.
• In-depth knowledge of financial planning strategies.
• Strong understanding of the financial services industry, including regulatory requirements set by the Insurance Councils, CIRO, and other regulatory bodies.
• Proficiency in MS Office and familiarity and comfort using AI tools.
• Fluency in French (speaking, reading, and writing).
• Strong verbal and written communication skills in English.
• Comfortable with public speaking and delivering presentations to large audiences.

Knowledge of French and English is required to support clients and Team members within and/ or outside the province of Quebec.

Benefits:

• COMPETITIVE COMPENSATION & RECOGNITION: competitive base salary, performance-weighted bonus, education/career support, option to join Employee Share Purchase Plan with employer matching component.

• EMPLOYEE BENEFITS: competitive health and dental coverage, flexible plan for you and your family

• RETIREMENT SAVINGS PROGRAMS: voluntary Defined Contribution Pension Plan

• INSURANCE: employer sponsored short-term and long-term disability.

• WORK LIFE BALANCE: paid volunteer days, competitive time off, including 10 wellness days off, WorkPerks discount program, hybrid & flex work arrangements.

• INCLUSIVE CULTURE AND DIVERSITY: living our core values: Be a Team, Be Accountable, Be Better, engaging with community through Business Resource Groups (BRG communities are volunteer employee-led groups formed around a common interest, identity, or background).

IGM is a diverse workplace committed to doing business inclusively - this starts with having a representative workforce We encourage applications from all qualified candidates that represent the diversity present across Canada – including racialized persons, women, Indigenous persons, persons with disabilities, 2SLGBTQIA+ community, gender diverse and neurodiverse individuals, as well as all who may contribute to the further diversification of ideas.

IG is an accessible employer committed to providing a barrier- free recruitment experience. If you require an accommodation or this information in an alternate format at any stage of the recruitment process, please reach out to the Talent Acquisition team who will work with you to meet your needs.

How to Apply: Interested candidates are invited to submit their resume and a cover letter detailing their qualifications and experience to

We thank all applicants for their interest in IG Wealth Management; however, only those candidates selected for an interview will be contacted.