Manager Compliance Tier 1

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.
• Minimum 2 years of relevant experience.
• If currently qualified as a supervisor for mutual funds only, the candidate must commit to completing the following courses within 6 months from hire, including the Supervisor Exam, the Retail Securities Exam, and the Canadian Investment Regulatory Exam (CIRE) (depending on experience).
• Training required following registration/licensing.
• 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 in French.
• 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 expected annual base salary range for this role is $86,500 - $105,000, 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.

a) Knowledge of French and English is required to support clients and Team members within and/ or outside the province of Quebec.

b) 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).
  
  

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 https://www.ig.ca/en/careers

Artificial Intelligence in Recruitment: As part of our Talent Acquisition process, we may use artificial intelligence and automated tools to support activities such as candidate sourcing, application review, and interview scheduling. These tools support the recruitment process; all hiring decisions are made by people.

We thank all applicants for their interest in IG Wealth Management; however, only those candidates selected for an interview will be contacted.