Bilingual Manager Compliance

3 months ago

Québec City, Canada IG Wealth Management Full time

Responsibilities

include: Conducting tier 1 supervision activities including; conducting 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. Supporting IG Wealth Management registrants in resolving compliance issues with regulatory guideline interpretation and with inquiries relating to acceptance of unique or exceptional situations. Managing 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. Identifying training requirements, implementing and coordinating the delivery of training programs. Participating 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 (opened to candidates outside of Quebec). For candidates within Quebec, proficiency in the French language (speaking, reading and writing) is mandatory

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