Senior Manager, Compliance (13143)

Career Opportunities : Senior Manager, Compliance (13143)

Requisition ID 13143 - Posted - Location Canada

IGM Financial Inc. is one of Canada's leading diversified wealth and asset management companies with approximately $271 billion in total assets under management.

The company provides a broad range of financial planning and investment management services to help more than two million Canadians meet their financial goals.

At IG Wealth Management, our vision is to inspire financial confidence.

This is your opportunity to build a career with a leading organization where you can learn, grow and thrive both professionally and personally.

We are proud to be recognized as one of Canada’s Top Employers by Mediacorp Canada Inc. for empowering our employees with the tools to thrive while working remotely.

IG Wealth Management 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.

Position (details)

Senior Manager, Compliance (Tier 1) oversees a team responsible for the daily monitoring and supervision of business activities from a Tier 1 perspective for both dealers (IGFS and IGSI).

Responsible for the leadership and guidance of staff to handle sensitive issues, manage resources, ensure consistent protocols and guidelines are applied, identify trends and recommend process / policy improvements and corrective actions.

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.
• Provide direction and leadership to Tier 1 Compliance Managers. Handle escalated and sensitive cases.
• Report to the Assistant Vice-President, Compliance on risks and trends observed in monitoring activity and recommend corrective action.
• 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.
• Develop effective relationships with Tier 1 Compliance Managers, Compliance Departments, and ensure timely resolution of inquiries and escalations.

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.
• Proficiency in Microsoft Word and Excel.
• Strong oral and written communication skills in both French and English.
• Excellent organizational skills with the ability to prioritize and perform multiple tasks.

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

IG Wealth Management 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.

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