Description

 

Division: IGM Legal & Compliance

Location: Winnipeg, Montreal

 

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 mutual fund and investment dealers, including rules, policies and by-laws of the self-regulatory organizations of 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: Senior Manager, Compliance Investigations oversees a team responsible for completing complaint and supervisory investigations, including oversight of investigatory steps, complaint adjudication, settlement negotiations with clients, and follow up of issues raised in each case. The Senior Manager, Compliance Investigations is responsible for providing leadership and guidance to staff on sensitive issues, managing resources, ensuring consistent protocols and guidelines are applied, identifying trends and recommending process/ policy improvements and corrective actions. This role will also manage responses to regulatory investigations related to client complaints, including inquiries about Advisor conduct and supervisory issues and controls. 

 

 DUTIES INCLUDE:

  • Manage, coach and prioritize case volumes for a team of Investigators, Senior Compliance Specialists and Administrators in responding to and resolving client complaints and internal investigations.

  • Review of casework completed by the investigations team to ensure appropriate resolution and completeness of the review.

  • Report on apparent trends or recurring deficiencies and appropriate corrective actions. Identify and implement process improvements.

  • Respond to regulator (CIRO, CSF, AMF, OBSI) inquiries related to compliance investigations. Conduct appropriate research and investigation into issues questioned by regulators. Correspond with Advisors, Division Managers, and Regional Vice Presidents as necessary to obtain information and explanations in order to provide full and complete written reports in response to regulatory inquiries.

  • Develop effective relationships with Clients, Advisors, Distribution Leadership, Regulators and other key stakeholders to ensure the timely resolution of client complaints.

  • Attend regulatory hearings and/or other hearings as a Subject Matter Witness when required.

 

QUALIFICATIONS:

  • Minimum 10 years of experience in a financial services environment

  • Leadership experience, preferably including staff performance, development, and coaching.

  • Post-secondary degree in a relevant business discipline

  • Completion of Canadian Securities Course (CSC) and other industry related certifications are considered an asset.

  • Certified Financial Planner (CFP) designation or other related designations are considered an asset.

  • Knowledge of the financial services industry, including understanding of Provincial Securities Acts and the bylaws, insurance councils, regulations and policies of CIRO, AMF, CSF and other regulators.

  • Superior problem solving, decision-making and organizational skills. Ability to multi-task in a deadline-oriented environment.

  • Excellent interpersonal, written and oral communication skills. Proficiency in the French language (speaking, reading and writing) is mandatory.

  • Knowledge of French and English is required to support clients and Team members within and/ or outside the province of Quebec.

 

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 January 28, 2025. 

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