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Senior Manager, Compliance
2 days ago
Division: IGM- Legal & Compliance
Location: Montreal, Toronto 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, IG Wealth Management 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, IG Wealth Management 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.
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 collaborates closely with Distribution Leadership and other senior management to develop and implement corporate policies, promote sound business practices, oversee business review programs, manage client complaint resolution processes, and conduct comprehensive branch examination programs.
Position Summary
The Senior Manager, Compliance plays a critical leadership role in maintaining IG Wealth Management's regulatory integrity while supporting the firm's continued growth. This role oversees a team responsible for managing complaint and supervisory investigations, reviewing business approval requests, and providing timely guidance on complex client matters—particularly those involving vulnerable individuals.
In addition to operational oversight, the Senior Manager drives strategic compliance initiatives by offering expert support on sensitive issues, ensuring consistent adherence to regulatory protocols, and optimizing resource allocation. The role also includes monitoring investigation outcomes to identify emerging trends, recommending improvements to policies and procedures, and implementing corrective measures to strengthen the firm's compliance framework.
Key Responsibilities
Team Leadership and Oversight
- Provide strategic leadership to a team responsible for the initial review of client complaints and supervisory investigations, ensuring timely and consistent resolution aligned with regulatory and corporate standards.
- Manage the supervisory review process, including identifying trends and overseeing analysis and remediation recommendations.
- Review, support and decision escalated recommendations on business approvals (such as leverage reviews, campaigns and contest recommendations and referral arrangements).
- Cultivate collaborative relationships with clients, Advisors, Regional Management, and internal stakeholders to support business efforts.
- Mentor and develop Compliance staff by offering guidance on supervisory review techniques, regulatory interpretation, and professional development.
- Analyze investigation outcomes to detect patterns, identify root causes, and recommend corrective actions or policy refinements to mitigate future risk.
Regulatory Engagement and Compliance Strategy
- Participate in the coordination and delivery of regulatory responses to oversight bodies such as CIRO, OBSI, AMF, the Chambre de l'assurance , Securities Commissions, OSFI, FCAC, and Insurance Councils.
- Ensure all regulatory communications are accurate, timely, and aligned with internal policies and standards
- Act as a senior point of contact for field leadership, Legal, and Compliance teams on complex regulatory matters, including escalated complaints, reviews and decisions.
- Drive continuous improvement by evaluating regulatory trends and implementing enhancements to compliance protocols, investigative and review practices, and risk mitigation strategies.
Qualifications
- Minimum of 7 years of experience in the financial services industry, with a strong preference for roles focused on compliance.
- Post-secondary degree in a relevant business discipline.
- Completion of the Canadian Securities Course (CSC), Life Licensing Qualification Program (LLQP) or other industry courses is considered an asset.
- Strong understanding of the financial services sector and financial planning strategies.
- Comprehensive knowledge of regulatory frameworks, including CIRO, AMF, the Chambre de l'assurance , provincial securities commissions, insurance councils, and other oversight bodies.
- Exceptional interpersonal, verbal, and written communication skills, with the ability to tailor messaging to diverse audiences and present information persuasively.
- Demonstrated strength in problem-solving, decision-making, and organizational capabilities.
- Proven ability to manage multiple priorities, adapt to interruptions, and meet deadlines in a fast-paced environment.
- Fluency in French is considered an asset.
- Experience with and the ability to effectively use artificial intelligence tools and technologies is considered an asset.
As this position is posted in Montréal, Toronto and Winnipeg, we specify that bilingualism (French, English, both oral and written) is required for Quebec only for the frequent interactions with English.
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 & INSURANCE: competitive health and dental coverage, flexible plan for you and your family and short-term & long-term disability plans.
- RETIREMENT SAVINGS PROGRAMS: voluntary Defined Contribution Pension Plan
- 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).
The expected annual base salary range for this role is ($87,000 - $124,500), which is determined based on skills, knowledge and experience and geographic location. In addition to base salary, this role is eligible for annual short-term incentive, health and well-being benefits, retirement and savings plan, paid time off and career development.
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.
Please apply before
February 17, 2026
.
