Compliance Officer

6 months ago

Mississauga, Canada Investment Planning Counsel Full time

Compliance Officer (Contract)

Investment Planning Counsel (IPC) is one of the fastest growing independent wealth management companies in Canada. We are a diverse group of people all driven towards one goal: helping advisors build a better business through a remarkable client experience.

With your background, skills and experience you’ve already found success in the wealth management industry. Have you found your ideal firm, one that encourages you to pursue a balanced lifestyle as well as professional success?

Our Compliance team is currently growing We’re seeking a Compliance Officer, someone who is focused on Tier 2 supervision and developing strong relationships with Advisors and Branch Managers in regulatory compliance and risk management. The goal of this role is to ensure that registrants of both our firms, IPC Investment Corporation (IPCIC) and IPC Securities Corporation (IPCSC) are following the firms’ policies and procedures as well as the rules, regulations, policies and by-laws of the New SRO of Canada (formerly MFDA and IIROC) and other applicable securities legislation.

The primary role of this position is to assist the Compliance Advisor Services team in the thorough and timely completion of daily Tier 2 trade review procedures as well as the review of trade-related documentation. The Compliance Officer is also responsible for the timely reporting of noted issues or areas of potential concern, completing monthly and quarterly trend analysis, responding to Advisor inquiries, maintaining supervisory applications, promoting a culture of compliance and building awareness around the importance of risk management.

WE WANT YOU TO JOIN OUR TEAM OF WINNERS

At Investment Planning Counsel we’ve designed every aspect of the Compliance Officer role with you in mind.

What is the role of the Compliance Officer?

  • Conduct daily Tier 2 Trade Supervision
  • Review Monthly and Quarterly trend reports
  • Monitoring for compliance with IPCIC, IPCSC and New SRO standards (MFDA Policy No. 2 & IIROC Rule 3900), IPC’s Supervision Guide & Standard Operating Procedures and IPC’s National Policies and Procedures Manuals
  • Following up, monitoring, and tracking inquiries and deficiencies, taking corrective action
  • Provide review/approval of leverage proposals and transactions in leveraged accounts
  • Maintain accurate and timely record-keeping of trade reviews performed and trade inquiries issued, and providing management oversight reports as requested
  • Respond to inquiries from Advisors, Advisor Support Professionals, Branch Managers, and head office staff in a timely and effective manner, providing clarification and interpretation of firm policies and applicable industry and regulatory requirements               
  • Support Branch Managers by generating and issuing timely reporting to assist with Tier 1 Supervision                                           
  • From time to time assist with resolving regulatory inquiries from the New SRO (MFDA and IIROC) and special compliance projects, assignments, or reports

What traits and competencies should a Compliance Officer possess?

  • Ability to use time management skills to prioritize and meet tight deadlines
  • Relationship-building skills with a commitment to establishing long-term Advisor relationships
  • Ability to think critically and use sound judgment when supporting Advisors

What are the preferred qualifications for a Compliance Officer?

  • Minimum 3 years of Compliance experience in the Financial industry, preferably with an MFDA or IIROC dealer.
  • Post-Secondary education
  • Completion of the Canadian Securities Course (CSC), Conduct and Practices Handbook Course (CPH), Branch M a nagers Course (CSI) and/or IFSE equivalents is mandatory
  • Applicable proficiencies to supervise sale of Alternative Funds and ETFs or ability to obtain within 3 months
  • Knowledgeable in mutual fund and/or investment dealer Sales Practices rules and regulation Including general familiarity with regulations concerning federal and provincial legislation covering anti-money laundering, privacy and other related compliance matters.
  • Experience working in an MFDA or IIROC Dealer Compliance environment with a good working knowledge of Univeris, Portfolio Aid and/or other back-office software solutions preferred
  • Excellent time-management skills and ability to self-motivate
  • Strong knowledge of Microsoft Suite of products (Word, Excel, Power Point, Outlook)

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