Bilingual Compliance Investigator

POSITION SUMMARY

The Compliance Investigatoris responsible for completing investigations of complaints and internal investigations, including determining appropriate investigatory steps, conducting a review, adjudicating the merits of a complaint, completing settlement negotiations with clients, and conducting required follow up on issues raised in each case. The work involves conducting analysis of various sources of information including file documentation, reports, procedures, and interviews to identify trends or issues. The individual will be responsible for identifying appropriatecorrective actions, communicating recommendations to affected parties and providing guidance to ensure corrective actions can be effectively implemented and well documented.

As this role requires bilingual communications, French speaking clients, Advisors, and Quebec regulators are a focus.

DUTIES INCLUDE:

• Develop effective relationships with Clients, Regional Management, Advisors and Regulators to ensure the timely resolution of complaints

• Investigate complaint and internal investigation matters through direct contact with Clients, Advisors, Branch Managers, Regional Management, and other internal business units

• Conduct a detailed review and analysis of complaints and internal investigations, adjudicate and recommend an appropriate course of action to resolve the matter.

• Provide coaching and guidance to the Senior Compliance Specialist on the research and analysis required

• Identify apparent trends and deficiencies that may have contributed to a complaint situation and recommend appropriate corrective action

• Recommend solutions and participate in the implementation of process improvements and changes to policies and procedures

QUALIFICATIONS:

• Minimum 7 years of experience in a financial services environment, preferably in a compliance-related role

• Post-secondary degree in a relevant business discipline

• Successful completion of industry courses, such as the Certified Financial Planners Program (CFP or equivalent program in Quebec) is considered an asset

• Completion of or commitment to complete, Canadian Securities Course (CSC)

• Life Licensing Qualification Program (LLPQ) or equivalent program in Quebec is an asset

• In-depth knowledge of the financial services industry and an in-depth understanding of financial planning strategies

• Understanding of rules, policies, and by-laws of CIRO, the AMF, the Chambre de l’assurance, provincial securities commissions, insurance commissions/councils and other regulators

• Excellent interpersonal, written and oral communication skills including the ability to communicate at the right level for the audience and present information in a convincing manner

• Excellent problem solving, decision-making and organizational skills

• Ability to prioritize and perform multiple tasks and deal with interruptions while working within a deadline-oriented environment

• Proficiency in French and English languages (speaking, reading, and writing) is required to support clients and Team members within and/or outside the province of Quebec.

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).
  
  

The expected annual base salary range for this role is ($69, 500 - $100,500), 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.

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

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