IG Wealth Management

Ontario

We’re IG Wealth Management – a Canadian leader in providing the best advice, experience and outcomes for our clients, personalized throughout their lifetime. This is your opportunity to build a career with a leading organization where you can learn, grow and thrive both professionally and personally.

Our vision: We inspire financial confidence.

At IG Wealth Management we believe:

  • Our success starts with the success of our clients
  • In achieving excellence in all we do, and anything worth doing is worth doing extraordinarily well
  • Only through teamwork can we realize our greatest potential
  • We can never be satisfied with the status quo and that every day we should be focused on creating more value
  • In the power of advice to change lives for the better
  • It is our mission to make a difference in the world and the lives of others

If you share our vision and values, we’d like to hear from you.

We are currently looking for a Manager, Compliance, to join our Compliance department located across Canada. 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 self-regulatory organizations of IIROC and the MFDA), 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.

The Manager, Compliance, is registered to supervise the activities of Investors Group registrants.

Responsibilities include:

  • Conducting tier 1 supervision activities including; reviewing and approving; daily and monthly trading, account opening and KYC updates, outside activities, social media supervision, leverages and service-related complaint resolution on either the IIROC or MFDA platform, and or both.
  • Supporting Investors Group 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 either IIROC or the MFDA as a supervisor.
  • If currently qualified as a supervisor with the MFDA, the candidate must commit to completing the following courses within 1 year from hire, including the Canadian Securities Course (CSC), Conduct and Practices (CPH), CSI Branch Manager Course, Effective Management Seminar, and the CSI 90 day training program.
  • 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 the MFDA, IIROC, AMF, insurance commissions/councils and other regulators.
  • Strong oral and written communication skills, and 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 team work.
  • 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 in writing in French is an asset for candidates outside of Quebec. For candidates within Quebec, proficiency in the French language (speaking, reading and writing) is mandatory.

Please apply by April 30, 2020. For technical difficulties when applying

Job Overview

Sign in

Sign Up

Forgotten Password

Share