Compliance Branch Manager - LP Financial Planning Services Ltd

TechAlliance of Southwestern Ontario, London Economic Development Corporation; Winnipeg; On-site; CAD 60,000 - 100,000; Part time

Benefits offered by this job

Career development

Health & Wellness benefits

Time off and volunteer days

Financial security programs

Rewards and recognition

Job summary

LP Financial Planning Services Ltd., a Winnipeg-based mutual fund dealer, seeks a Compliance Branch Manager to lead regulatory obligations and compliance activities. You will monitor registrations, review materials, and prepare for audits while collaborating with the Investment Product Committee.

The role requires a post-secondary degree in business or finance and 5+ years in mutual fund compliance, with licenses or equivalent experience.

Qualifications

• Post secondary degree or diploma in business or finance.
• 5 years of progressive compliance experience within mutual fund or securities.
• Deep knowledge of mutual fund regulation.
• 2+ years licensed as a Dealing Representative or Branch Manager at an MFD or as a Registered/Investment Representative or Supervisor at an ID.
• Industry courses such as IFIC/CSC, Branch Managers’ Course, or Partners, Directors and Senior Officers.

Responsibilities

• Provide expertise and advice on regulatory compliance obligations to business partners and advisors.
• Conduct ongoing compliance monitoring activities of mutual fund registrants at Tier 1 or 2 level.
• File NRD registration applications, notices and terminations.
• Collaborate on updates to policy and procedures to meet CIRO rules.
• Work with Investment Product Committee to fulfil KYP obligations.
• Review marketing materials and co-operative marketing requests.
• Prepare for and handle CIRO/internal audit examinations.
• Occasionally travel to branches for reviews, interviews or training.
• Develop knowledge of provincial and federal regulations and CIRO rules.
• Demonstrate high technical and business acumen to manage compliance risk.

Skills

Regulatory compliance

Analytical skills

Relationship building

Communication (oral & written)

MS Office proficiency

Regulatory knowledge (CIRO)

Attention to detail

Time management

Ethics & background checks

Education

Post-secondary degree or diploma in business or finance

Tools

MS Office (Excel, PowerPoint, SharePoint, Word)

Job description

Compliance Branch Manager - LP Financial Planning Services Ltd

Description:

Permanent Part Time

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For more than 30 years, LP Financial Planning Services Ltd.has supported advisors through personalized, boutique solutions tailored to their unique practices and clients. Innovation, flexibility, and meaningful partnerships are at the core of how we help advisors succeed.

Our strategic partnership withCanada Lifestrengthens that foundation. It expands access to broaderexpertiseand global scale—allowing LP and its advisors to grow, evolve, and deliver even greater value, while preserving the trusted experience advisors and clients rely on.

LP Financial Planning Services Ltd. is a Winnipeg-based Canadian Investment Regulatory Organization ( CIRO) mutual fund dealer that has been supporting financial advisors for over thirty years and continually strives to integrate industry-leading processes and systems. Presently servicing a select group of elite advisors in NW Ontario, Manitoba, and Western Canada, LP Financial is taking steps to grow its footprint and service offering in the Canadian financial services distribution landscape.

Job Overview

The Compliance Branch Manager, reporting directly to the Chief Compliance Officer, will play a key role on the operations team to fulfill the multifaceted regulatory obligations of a mutual fund dealer. This position has a broad range of responsibilities that will allow the successful candidate to learn, experience and flourish in many different areas of compliance.

What you will do

• Provide expertise and advice on regulatory compliance obligations to business partners and advisors;
• Conduct ongoing compliance monitoring activities of mutual fund registrants at either a Tier 1 or 2 level;
• File National Registration Database (NRD) registration applications, notices and terminations;
• Collaborate on and participate in updates of the policy and procedures manual to meet new and revised CIRO rules;
• Work with the dealer’s Investment Product Committee to fulfil its KYP obligations;
• Review marketing materials and co-operative marketing requests;
• Preparation for and handling of audit examinations conducted by Internal audit and CIRO;
• Occasionally travel to branches to conduct reviews, interviews and/or training;
• Develop and maintain deep knowledge of various legislative obligations at both the provincial and federal level as well as regulations of self-regulatory organizations (CIRO) and industry groups;
• Demonstrate a high level of technical and business acumen to ensure compliance risk is managed appropriately; and

What you will bring

• Post secondary degree or diploma in business or finance;
• 5 years of progressive compliance experience within mutual fund or securities industry;
• Deep knowledge of mutual fund regulation
• 2+ years’ licensed as a Dealing Representative or Branch Manager at an Mutual Fund Dealer (MFD), or as a Registered Representative, Investment Representative, or Supervisor at an Investment Dealer (ID)
• Industry courses such as IFIC/CSC, Branch Managers’ Course, and/or Partners, Directors and Senior Officers, etc.
• Ability to apply analytical skills to resolve a variety of complex situations;
• Ability to build relationships and influence change effectively with a broad range of individuals and groups;
• Very good organizational skills with strong attention to detail, ability to prioritize, multi-task and meet deadlines;
• Excellent verbal and written communication skills; and
• Advanced working knowledge of MS Office (Excel, PowerPoint, SharePoint and Word).
• A Criminal Record and Credit background check is mandatory as a condition of employment.

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The base salary for this position is between $59,800 - $99,700 annually. This represents base salary only and does not represent other variable compensation components of our total compensation ( i.e. annual bonus, commission etc). If you are selected to move forward in our recruitment process, your recruiter will be able to discuss additional details of our total rewards program with you.

Career opportunities will be open a minimum of 5 business days from the date of posting, closing dates will vary depending on the search activity. All applications received will be reviewed on a rolling basis.

Grow with Canada Life

We’reunited by a shared purpose: to improve the financial,physicaland mental well-beingof Canadians. Our company is trusted by 1 in 3 Canadians and contributes to the strength of communities across the country.

We’relooking for people who live our values everyday: we step up, we do the right thing, and we deliver – for our customers,communitiesand each other.Are you someone who always strives to do the right thing, who steps up for themselves and others, and delivers with impact? Then we want to hear from you!

What we offer

We’re committed to supporting our employees through every stage of their career. Here’s what you can expect as a full-time or part-time permanent team member:

• Career Development: Opportunities for career advancement, access to industry-leading learning programs and up to$2,000 annuallytowardseducation reimbursement.

• Health & Wellness:Flexible health and dental benefits,plus a $5,000 mental health benefit to support your well-being.

• Time Off:In addition to regular vacation andpersonal days,we support communityinvolvement with avolunteer day.

• Financial Security:Company-matching pension plan,share ownership program andadditionalinvestment options.

• Rewards and Recognition:Employee recognition programs, service milestone celebrations, employee discounts and more!
• Emphasis onCommunity:We provide aworkplace whereemployeesfeel connected and supported throughEmployee Resource Groups (ERGs),mentorshipprograms,socialclubsandevents.

Learn more aboutCanada Life .

We’re committed to removing barriers and ensuring equal access to employment. Applicants requiring reasonable accommodation during the application process may contact [e-mail]. All information provided will be handled in accordance with applicable laws and Canada Life policies.

Canada Life would like to thank all applicants, however only those who qualify for an interview will be contacted.