Senior Manager, Compliance

3 days ago

Québec City, Canada IG Wealth Management Full time

Responsibilities

:

Manage, coach and prioritize workload for a team of registered Tier 1 Compliance Managers to ensure all regulatory and internal policy requirements are being met, including daily and other periodic reviews, account and KYC update approvals, outside activity reviews, onboarding activities, social media supervision and more. Monitor responses and business decisions to ensure good judgement is applied and provide coaching as needed.

Provide direction and leadership to Tier 1 Compliance Managers. Handle escalated and sensitive cases. Report to senior management on status of various compliance business review activities including close supervision and high-risk cases.

Report to the Assistant Vice-President, Compliance on risks and trends observed in monitoring activity and recommend corrective action including policy development and disciplinary actions.

Participate in cross division teams dealing with strategic initiatives, projects or other mandates.

Respond to both internal and regulatory inquiries related to compliance business reviews. Conduct appropriate research and investigation into issues questioned by regulators. Correspond with Tier 1 Compliance Managers, Advisors, Wealth Specialists, Regional Vice-Presidents and others as necessary.

Develop effective relationships with Tier 1 Compliance Managers, Compliance Departments, Consultants, Wealth Planning Specialists, Regional Management, Distribution Leadership, and ensure timely resolution of inquiries and escalations.

Travel may be required.

Requirements:

Minimum of 10 years of experience in a financial services environment, preferably in a compliance-related role.

Leadership experience including staff performance, development and coaching

Post-secondary degree or diploma in a relevant business field an asset

Completion of industry-related courses including the Canadian Securities Course (CSC), Investment Dealer Supervisors Course (IDSE), and the Conduct and Practices Handbook (CPH).

CIM or CFA designation an asset.

In-depth knowledge of the financial services industry, including understanding of regulatory requirements of CIRO, AMF, insurance commission/councils and other regulators.

Proficiency in Microsoft Word and Excel.

Strong oral and written communication skills in both French and English. Must be able to communicate clearly and effectively with various levels of staff, including senior management, along with being and effective listener. Must have a positive and collaborative approach to teamwork.

Excellent organizational skills with the ability to prioritize and perform multiple tasks and deal with interruptions while working within strict deadlines.

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