Manager, Compliance - Tier 1

Career Opportunities:
Manager, Compliance - Tier 1 (14073)

Requisition
14073
-Posted - Location (3)
- Canada
- Province of Job Posting (3) - Career Site (2)

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.

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 self‑regulatory organization of the Canadian Investment Regulatory Organization (CIRO), provincial securities commissions, insurance commissions/councils and other regulators. The 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.

The Manager, Compliance, is registered to supervise the activities of IG Wealth Management registrants.

• Conduct Tier 1 supervision activities including reviews of daily and monthly trading, account opening and KYC updates, outside activities, social media supervision, and service‑related complaint resolution on either the investment dealer or mutual fund dealer platform, and or both.
• Support IG Wealth Management registrants in resolving compliance issues with regulatory guideline interpretation and with inquiries relating to acceptance of unique or exceptional situations.
• Manage 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.
• Identify training requirements, implement and coordinate the delivery of training programs.
• Participate in internal compliance reviews or external regulator audits conducted in Head Office or Branch/Sub‑Branch office locations.

• 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 CIRO as a supervisor for investments, mutual funds or both.
• Minimum 2 years of relevant experience.
• If currently qualified as a supervisor for mutual funds only, the candidate must commit to completing the following courses within 6 months from hire, including the Supervisor Exam, the Retail Securities Exam, and the Canadian Investment Regulatory Exam (CIRE) (depending on experience).
• Training required following registration/licensing.
• 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 CIRO, insurance commissions/councils and other regulators.
• Strong oral, written and communication skills; able to communicate clearly and effectively with various levels of staff, including senior management, along with being an effective listener.
• Must have a…