Description
Division: IGM Legal & Compliance
Location: Montreal, Winnipeg
IGM Financial Inc. is one of Canada’s leading diversified wealth and asset management companies with approximately $271 billion in total assets under managements. The company provides a broad range of financial planning and investment management services to help more than two million Canadians meet their financial goals. Its activities are carried out principally through IG Wealth Management and Mackenzie Investments.
Under IGM Financial’s unique business model based on leading brands and multi-channel distribution strategy, we’re IG Wealth Management. For over 90 years of business, we have grown to become one of the largest most respected companies in Canada. We are a leader in providing the best advice, experience and outcomes for our clients, personalized throughout their lifetime.
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, while also providing resources to ensure physical and mental wellness were put front and center.
You will join a team that believes our success starts with the success of our clients, while working together as a team to realize our greatest potential. You will join a team that strives towards excellence while developing and sharing skills and knowledge. You can make a difference for our clients, the world around us and be part of a team that cares. We are dedicated to offering a hybrid work environment when applicable.
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 – 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.
DEPARTMENT SUMMARY: 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 Canadian Investment Regulatory Organization (CIRO), AMF and CSF, 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 Compliance Specialist is responsible for the coordination and submission of registration filings to the applicable regulators such as Securities Commissions, CIRO and AMF. This includes the submission of quality and timely filings of new registrations, terminations, disclosures, sub-branch locations, probationary licensing of insurance candidates and financial planner licensing in Québec, through applicable external regulatory reporting systems including National Registration Database (NRD), Service en Ligne (AMF), Member Electronic Tracking System (METS) and Comprehensive Reporting System (COMSET). In addition, the Senior Compliance Specialist will also liaise with regulators as required and is responsible for providing support and guidance to business partners. This includes working closely and handling inquiries from various internal departments such as Advisor Recruitment Experience team, Region Office Operations, Distribution and Field Network Administration. The Senior Compliance Specialist assists with creating and maintaining department procedures, and contributes to compliance reporting, reviews and audits.
DUTIES INCLUDE:
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Provide timely and quality responses to registration requests received from external and internal sources, including regulators, business partners and Management.
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Handle the submission of registration filing notices and applicable reporting to regulators, including follow up questions from regulators. Verbal and written correspondence with the Autorité des Marchés Financiers (AMF) will be required regularly to ensure filings are within regulatory timeframes.
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Provide business support to various business partners including Advisor Recruitment Experience, Legal, Region Office Managers, Québec General Office and Senior Management, Regional Directors and Division Directors regarding registration issues.
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Review and process reconciliation requests from Autorité des Marchés Financiers (AMF) for the three IG firms. This includes annual maintenance of the registrations.
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Assist with developing new departmental policies and procedures relating to registration activities and processes. Review and assist with maintenance of existing policies and procedures.
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Actively participate and contribute to compliance reporting and reviews required by auditors, regulators, and other external parties (such as Internal Audit, CIRO, Insurance Councils, etc.)
QUALIFICATIONS:
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4+ years experience in the mutual fund/financial services industry, preferably with exposure to a compliance environment
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Completion of a post-secondary degree in a relevant business discipline or industry related courses such as Canadian Investment Funds Course (CIFC) and/or Canadian Securities Course (CSC) an asset
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Knowledge of the financial services industry, including an understanding of regulatory and compliance requirements of CIRO, AMF, insurance councils and other regulators
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Demonstrated proficiency with Microsoft Word, Excel and Access
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Superior problem solving, decision-making and organizational skills. Ability to multi-task in a deadline-oriented environment.
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Candidates with previous experience using both the NRD and the AMF’s Services en Ligne are preferred
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Excellent interpersonal, written and verbal communication skills. Proficiency in the French language (speaking, reading and writing) is mandatory.
Please visit our career page by clicking on the following link: 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.
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 who will work with you to meet your needs.
Please apply by September 30, 2024.
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