Description

 

 

Division:  Compliance 

 

Location:  Winnipeg, Toronto, Montreal

 

IGM Financial Inc. is a leading wealth and asset management company in Canada, managing approximately $310 billion in assets as of December 31, 2025. It offers financial planning and investment services to over two million Canadians through IG Wealth Management and Mackenzie Investments. 

 

Founded in 1926, IG Wealth Management is a key part of IGM’s business model, providing comprehensive wealth management services to Canadian financial advisors and their clients.  

 

With a vision to inspire financial confidence, IG Wealth Management is recognized as one of Manitoba’s Top Employers, Canada’s Top 100 Employers, and Best Diversity Employers, aiming to innovate the industry and support Canadians in achieving their financial goals. 

 

Join our team to engage in continuous learning and skill development in a supportive environment. Experience the best of both worlds with our hybrid work environment, where you spend three days a week in the office, connecting, collaborating, and enjoying quality time with your amazing colleagues! Our Values: Be better; we strive for improvement in everything we do. Be accountable; we foster clarity and are empowered to act responsibly. Be a team; we are united to drive collective impact to achieve our goals. 

 

We are currently looking for a Senior Manager, Compliance to join our Compliance Department. 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 organization of the Canadian Investment Regulatory Organization (CIRO), 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. 

 

Position Summary:

The Senior Manager, Compliance oversees a team responsible for the monitoring and supervision of business activities from a Tier 2 perspective.  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. Collaborate with Compliance business partners to research and manage responses to regulatory investigations to ensure effective resolution and risk mitigation.

 

Responsibilities:

  • Manage, coach and prioritize workload for the supervision team to ensure all regulatory and internal policy requirements are being met, including daily and other periodic reviews. Monitor responses and business decisions to ensure good judgement is applied and provide coaching as needed.
  • Provide direction and leadership to the Tier 2 supervision team and handle escalated and sensitive cases.  Report to senior management on status of various compliance business review activities including close supervision and high-risk cases.
  • Report to the Assistant Vice-President, Compliance on risks and trends observed in monitoring activity and recommend corrective action including policy development and disciplinary actions.
  • Participate in cross division teams dealing with strategic initiatives, projects or other mandates.
  • Respond to both internal and regulatory inquiries related to compliance supervision.  Conduct appropriate research and investigation into issues questioned by regulators.  Correspond with compliance team members, Advisors, Wealth Specialists, Regional Vice-Presidents and others as necessary. 
  • Develop effective relationships across the Compliance Departments, Advisors, Regional Management, Distribution Leadership, and ensure timely resolution of inquiries and escalations.
  • Travel may be required.

 

Requirements:

  • Minimum of 6-10 years of experience in a financial services environment, preferably in a compliance-related role.
  • Knowledge and experience of performance management, employee development, coaching as well as team building and employee engagement. Proven experience of managing teams through change.
  • 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) or current CIRO equivalent proficiency requirements.
  • In-depth knowledge of the financial services industry, including understanding of regulatory requirements of CIRO, AMF, insurance commission/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.
  • Must have a positive and collaborative approach to teamwork.
  • Ability to think and act strategically in a dynamic environment while anticipating future trends in service, technology and training.  An innovative mindset with creative approaches to problems.
  • Well-developed organizational skills with the ability to prioritize, perform multiple tasks, deal with interruptions and meet deadlines.
  • Proficient in Microsoft Office

 

 

 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.  

 

The expected annual base salary range for this role is $97,000 – $130,000 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. 

 

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.   

 

Please apply before June 1 2026. 

 

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