Senior Compliance Specialist, Compliance

IG Gestion de patrimoine; Quebec; Hybrid; CAD 63,000 - 73,000; Full time

Benefits offered by this job

Competitive compensation

Education support

Employee Share Purchase Plan

Hybrid & flexible work

Wellness days

Diversity & inclusion

Job summary

IGM Financial Inc. is seeking a Senior Compliance Specialist to oversee Advisor activities and run compliance programs, including reviews and investigations, ensuring adherence to CIRO and provincial regulations.

The role involves data gathering from client files and transaction histories, identifying issues, and recommending resolutions. Join a team focused on regulatory excellence within a hybrid work environment, with opportunities to mentor staff and influence policy changes.

Qualifications

• 4+ years in financial services with compliance/investigations exposure.
• Post-secondary degree in a relevant business discipline.
• CSC or CIRE or equivalent qualifications; additional designations are assets.
• Fluency in French is preferred.
• Knowledge of CIRO, AMF, CSF and provincial regulators.

Responsibilities

• Review communications in the Compliance IG Mailbox and respond appropriately.
• Oversee Advisor business practices including financial planning and approvals.
• Lead Compliance Practice Review programs and report results.
• Gather and analyze information to support investigations and regulatory inquiries.
• Communicate with Advisors, Regional Management and internal partners to resolve matters.
• Assess findings and recommend corrective actions and coaching as needed.
• Support resolution of complaint and investigation files and coordinate client communications.
• Prepare management and regulatory reporting on compliance programs and investigations.
• Contribute to policy and process changes based on lessons learned.
• Respond to compliance-related queries from stakeholders.
• Mentor junior staff on escalated cases and actions.

Skills

Regulatory compliance

Investigation

Analytical skills

Communication

French language

Education

Post-secondary degree in business

CSC/CIRE or equivalent

Tools

MS Office Suite

Job description

Location: Winnipeg, Montreal

IGM Financial Inc. is a leading wealth and asset management company in Canada, managing approximately $310 billion in assets as of December 31, 2025. It offers financial planning and investment services to over two million Canadians through IG Wealth Management and Mackenzie Investments.

Division: IGM Legal and Compliance

Location: Winnipeg, Montreal

IGM Financial Inc. is a leading wealth and asset management company in Canada, managing approximately $310 billion in assets as of December 31, 2025. It offers financial planning and investment services to over two million Canadians through IG Wealth Management and Mackenzie Investments.

Founded in 1926, IG Wealth Management is a key part of IGM's business model, providing comprehensive wealth management services to Canadian financial advisors and their clients.

With a vision to inspire financial confidence, IG Wealth Management is recognized as one of Manitoba’s Top Employers, Canada’s Top 100 Employers, and Best Diversity Employers, aiming to innovate the industry and support Canadians in achieving their financial goals.

Join our team to engage in continuous learning and skill development in a supportive environment. Experience the best of both worlds with our hybrid work environment, where you spend three days a week in the office, connecting, collaborating, and enjoying quality time with your amazing colleagues! Our Values: Be better; we strive for improvement in everything we do. Be accountable; we foster clarity and are empowered to act responsibly. Be a team; we are united to drive collective impact to achieve our goals.

We are currently looking for a Senior Compliance Specialist to join our Compliance team. The mandate of the Compliance Department is to ensure compliance with relevant regulatory requirements affecting investment dealers, including rules, policies, and by-laws of CIRO, provincial securities commissions, insurance commissions/councils and other regulators. The Compliance 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 oversight of Advisor business activities and the execution of various compliance programs, including business practice reviews, business approvals, supervisory programs, compliance investigations and support for regulatory inquiries.

The work involves gathering and analyzing information from various sources, including client and Advisor file documentation, account and transaction records, reports, audit procedures, interviews and other relevant information, to identify trends, issues and potential compliance concerns. The Senior Compliance Specialist is responsible for identifying and recommending appropriate resolutions and corrective actions, communicating recommendations to affected parties, and following up to ensure actions are effectively implemented and well documented.

Duties Include

• Review and respond to communications received in the Compliance, IG Mailbox.
• Provide oversight of Advisor business practices, including financial planning and business approvals.
• Lead Compliance Practice Review programs, including developing action plans, executing reviews, monitoring and resolving issues, and reporting on results.
• Gather and analyze information to support compliance investigations, client complaint reviews and regulatory inquiries, including comprehensive reviews of client files, account activity, transaction histories, projections and value calculations.
• Communicate with Advisors, Regional Management and internal business partners to obtain relevant information and support the resolution of compliance matters.
• Assess findings and recommend appropriate resolutions, remedial or corrective actions, including coaching, meetings or conference calls, training, exception approvals and other measures to address identified deficiencies.
• Support the resolution and closure of complaint and investigation files, including preparation of client communications and oversight of account adjustments, where applicable, to support timely and accurate resolution.
• Prepare and coordinate management and periodic reporting on compliance programs, investigations and other matters for senior management and/or regulators.
• Recommend and participate in the development and implementation of changes to policies, procedures and compliance processes based on identified issues, trends and lessons learned.
• Respond to compliance-related queries from Advisors, Regional Management and internal business partners.
• Mentor and provide guidance to junior staff on unusual, sensitive and escalated cases and assist in determining appropriate corrective actions.

Qualifications

• 4+ years of experience in the financial services industry, preferably with exposure to a compliance, investigations, supervision or related environment.
• Completion of a post-secondary degree in a relevant business discipline.
• Completion of or commitment to complete the Canadian Securities Course (CSC), Canadian Investment Regulatory Exam (CIRE), or equivalent industry-recognized proficiency qualifications. Additional industry or compliance-related courses or designations are considered an asset.
• Fluency in French is preferred.
• In-depth knowledge of the financial services industry, investment products and a good understanding of financial planning strategies.
• Understanding of rules, policies, and by-laws of CIRO, the AMF, the CSF, provincial securities commissions and other regulators.
• Proven analytical, investigative and problem-solving skills, including the ability to review complex client files, account activity and transaction information, identify relevant issues and develop well-supported recommendations.
• Strong written and oral communication skills, with the ability to communicate clearly and professionally with Advisors, Regional Management, internal business partners, clients and regulators, as applicable.
• Well-developed organization and time-management skills with the ability to prioritize, perform multiple tasks, deal with interruptions and meet deadlines with limited supervision.
• Demonstrated proficiency in PC applications, including Microsoft Word, Excel, PowerPoint, Outlook, SharePoint and Teams, and agility in learning new systems and internal client/account platforms.
• Strong ability to exercise sound judgement, handle sensitive matters and maintain confidentiality.
• Must have a positive attitude and collaborative approach to teamwork.

The expected annual base salary range for this role is $62,500 - $72,500 which is determined based on skills, knowledge and experience and geographic location. In addition to base salary, this role is eligible for annual short-term incentive, health and well-being benefits, retirement and savings plan, paid time off and career development.

Benefits

• COMPETITIVE COMPENSATION & RECOGNITION: competitive base salary, performance-weighted bonus, education/career support, option to join Employee Share Purchase Plan with employer matching component.
• EMPLOYEE BENEFITS & INSURANCE: competitive health and dental coverage, flexible plan for you and your family and short-term & long-term disability plans.
• RETIREMENT SAVINGS PROGRAMS: voluntary Defined Contribution Pension Plan
• WORK LIFE BALANCE: paid volunteer days, competitive time off, including 10 wellness days off, WorkPerks discount program, hybrid & flex work arrangements.
• INCLUSIVE CULTURE AND DIVERSITY: living our core values: Be a Team, Be Accountable, Be Better, engaging with community through Business Resource Groups (BRG communities are volunteer employee-led groups formed around a common interest, identity, or background).

IGM is a diverse workplace ce diversity present across Canada – including racialized persons, women, Indigenous persons, persons with disabilities, 2SLGBTQIA+ community, gender diverse and neurodiverse individuals, as ommitted to doing business inclusively - this starts with having a representative workforce!

IG 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.