Compliance Investigator

Job title:

Compliance Investigator

Company

IG Wealth Management

Job description

Division: IGM- Legal & ComplianceLocation: Montreal or WinnipegIGM 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.POSITION SUMMARY:The Compliance Investigator is responsible for completing investigations of complaints and internal investigations, including determining appropriate investigatory steps, conducting a review, adjudicating the merits of a complaint, completing settlement negotiations with clients, and conducting required follow up on issues raised in each case. The work involves conducting analysis of various sources of information including file documentation, reports, procedures, and interviews to identify trends or issues. The individual will be responsible for identifying appropriate corrective actions, communicating recommendations to affected parties and providing guidance to ensure corrective actions can be effectively implemented and well documented.DUTIES INCLUDE:Develop effective relationships with Clients, Regional Management, Advisors and Regulators to ensure the timely resolution of complaintsInvestigate complaint and internal investigation matters through direct contact with Clients, Advisors, Branch Managers, Regional Management, and other internal business unitsConduct a detailed review and analysis of complaints and internal investigations, adjudicate and recommend an appropriate course of action to resolve the matterProvide coaching and guidance to the Senior Compliance Specialist on the research and analysis requiredIdentify apparent trends and deficiencies that may have contributed to a complaint situation and recommend appropriate corrective actionRecommend solutions and participate in the implementation of process improvements and changes to policies and proceduresQUALIFICATIONS:Minimum 7 years of experience in a financial services environment, preferably in a compliance-related rolePost-secondary degree in a relevant business disciplineSuccessful completion of industry courses is considered an assetCompletion of or commitment to complete, Canadian Securities Course (CSC)Life Licensing Qualification Program (LLPQ) or equivalent program in Quebec is an assetIn-depth knowledge of the financial services industry and a good understanding of financial planning strategiesUnderstanding of rules, policies, and by-laws of CIRO, the AMF, the CSF, provincial securities commissions, insurance commissions/councils and other regulatorsExcellent interpersonal, written and oral communication skills including the ability to communicate at the right level for the audience and present information in a convincing mannerExcellent problem solving, decision-making and organizational skillsAbility to prioritize and perform multiple tasks and deal with interruptions while working within a deadline-oriented environmentProficiency in French and English languages (speaking, reading, and writing) is an assetPlease visit our career page by clicking on the following link: https://www.ig.ca/en/careersWe 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 November 20, 2024.#LI-KN1#LI-Hybrid

Expected salary

Location

Montreal, QC – Winnipeg, MB

Job date

Fri, 15 Nov 2024 06:39:40 GMT

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