Manager, Compliance - Tier 1

IG Wealth Management; Nova Scotia; On-site; CAD 80,000 - 100,000; Full time

Job summary

A financial services firm is seeking a compliance supervisor with 7+ years of experience. You will oversee tier 1 supervision activities and manage regulatory obligations. Strong communication skills and proficiency in both French and English are required. Experience with Microsoft Office is also necessary. This role offers the opportunity to work in a dynamic environment and advance in your career.

Qualifications

• 7+ years of experience in a compliance-related environment.
• Strong oral and written communication skills.
• Proficiency in Microsoft Word and Excel.

Responsibilities

• Conducting tier 1 supervision activities including regulatory compliance.
• Participating in internal compliance reviews and external audits.
• Identifying training requirements and coordinating training programs.

Skills

Compliance expertise

Analytical skills

Bilingual communication

Organizational skills

Education

Post-secondary degree or diploma in a relevant business discipline

Tools

Microsoft Word

Microsoft Excel

Job description

Responsibilities

• Conducting tier 1 supervision activities including; reviewing and approving; daily and monthly trading, account opening and KYC updates, outside activities, social media supervision, leverages and service-related complaint resolution on either the IIROC or MFDA platform, and or both.
• Supporting Investors Group 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 either IIROC or the MFDA as a supervisor.
• If currently qualified as a supervisor with the MFDA, the candidate must commit to completing the following courses within 1 year from hire, including the Canadian Securities Course (CSC), Conduct and Practices (CPH), CSI Branch Manager Course, Effective Management Seminar, and the CSI 90 day training program.
• 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 the MFDA, IIROC, AMF, insurance commissions / councils and other regulators.
• Strong oral and written communication skills, and 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 team work.
• 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 (opened to candidates outside of Quebec). For candidates within Quebec, proficiency in the French language (speaking, reading and writing) is mandatory.

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.