Senior Manager, Compliance

The mandate of the Compliance Department is to ensure compliance with relevant regulatory requirements affecting investment dealers, including rules, policies and by-laws of the Canadian Investment Regulatory Organization (CIRO), provincial securities commissions, insurance commissions/councils and other regulators. The department collaborates closely with Distribution Leadership and other senior management to develop and implement corporate policies, promote sound business practices, oversee business review programs, manage client complaint resolution processes, and conduct comprehensive branch examination programs.

POSITION SUMMARY: 

The Senior Manager, Compliance plays a critical leadership role in maintaining IG Wealth Management’s regulatory integrity while supporting the firm’s continued growth. This role oversees a team responsible for managing complaint and supervisory investigations, reviewing business approval requests, and providing timely guidance on complex client matters—particularly those involving vulnerable individuals.

In addition to operational oversight, the Senior Manager drives strategic compliance initiatives by offering expert support on sensitive issues, ensuring consistent adherence to regulatory protocols, and optimizing resource allocation. The role also includes monitoring investigation outcomes to identify emerging trends, recommending improvements to policies and procedures, and implementing corrective measures to strengthen the firm’s compliance framework.

Key Responsibilities

Team Leadership and Oversight

• Provide strategic leadership to a team responsible for the initial review of client complaints and supervisory investigations, ensuring timely and consistent resolution aligned with regulatory and corporate standards.


• Manage the supervisory review process, including identifying trends and overseeing analysis and remediation recommendations.


• Review, support and decision escalated recommendations on business approvals (such as leverage reviews, campaigns and contest recommendations and referral arrangements).


• Cultivate collaborative relationships with clients, Advisors, Regional Management, and internal stakeholders to support business efforts.


• Mentor and develop Compliance staff by offering guidance on supervisory review techniques, regulatory interpretation, and professional development.


• Analyze investigation outcomes to detect patterns, identify root causes, and recommend corrective actions or policy refinements to mitigate future risk.

Regulatory Engagement and Compliance Strategy

• Participate in the coordination and delivery of regulatory responses to oversight bodies such as CIRO, OBSI, AMF, the Chambre de l’assurance , Securities Commissions, OSFI, FCAC, and Insurance Councils.


• Ensure all regulatory communications are accurate, timely, and aligned with internal policies and standards


• Act as a senior point of contact for field leadership, Legal, and Compliance teams on complex regulatory matters, including escalated complaints, reviews and decisions.


• Drive continuous improvement by evaluating regulatory trends and implementing enhancements to compliance protocols, investigative and review practices, and risk mitigation strategies.

QUALIFICATIONS:

• Minimum of 7 years of experience in the financial services industry, with a strong preference for roles focused on compliance.


• Post-secondary degree in a relevant business discipline.


• Completion of the Canadian Securities Course (CSC), Life Licensing Qualification Program (LLQP) or other industry courses is considered an asset.


• Strong understanding of the financial services sector and financial planning strategies.


• Comprehensive knowledge of regulatory frameworks, including CIRO, AMF, the Chambre de l’assurance , provincial securities commissions, insurance councils, and other oversight bodies.


• Exceptional interpersonal, verbal, and written communication skills, with the ability to tailor messaging to diverse audiences and present information persuasively.


• Demonstrated strength in problem-solving, decision-making, and organizational capabilities.


• Proven ability to manage multiple priorities, adapt to interruptions, and meet deadlines in a fast-paced environment.


• Fluency in French is considered an asset.


• Experience with and the ability to effectively use artificial intelligence tools and technologies is considered an asset.

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