Description
Grade: P7Referral Level: Level 2Division: IGM Legal & Compliance 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. 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 is Mackenzie Investments, founded in 1967. Mackenzie Investments is a holistic asset-management partner for thousands of Canadian financial advisors and the investors they support. At Mackenzie Investments You Can Build Your Career with Confidence. We have a vision and a strategy that will challenge the way business in this industry is done and help Canadians be successful in the ways that mean the most to them. As part of our team, you will do some of your best work, develop some of your most valuable skills and give back in ways that make a difference in the lives of Canadians. 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 centre. Join an unstoppable team that is embedded in continuous learning, understanding, and knowledge sharing. You will thrive in our supportive environment where you can indulge your curiosity to learn, while receiving the feedback you need to refine your skills and abilities. We are dedicated to offering a hybrid work environment when applicable. Mackenzie Investments 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. PositionWe are currently looking for a Manager, Compliance, to join our Compliance department located across Canada. 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. The Manager, Compliance, is registered to supervise the activities of IG Wealth Management registrants. 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. If currently qualified as a supervisor for mutual funds only, the candidate must commit to completing the following courses within 1 year from hire, including the Canadian Securities Course (CSC), Conduct and Practices (CPH), and Investment Dealer Supervisor Course. 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. 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 ability to communicate verbally and written in French & English is an asset (opened to candidates outside of Quebec). For candidates within Quebec, proficiency in the French language (speaking, reading, and writing) is mandatory. Please visit our career page by clicking on the following link: https://www.mackenzieinvestments.com/en/careers We thank all applicants for their interest in Mackenzie Investments; however, only those candidates selected for an interview will be contacted. Mackenzie Investments 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 January 30, 2025. #LI-JS2#LI-Hybrid
