Manager, Compliance - Tier 1

Location:

Toronto, Winnipeg, British Columbia, Alberta, Saskatchewan

Reports to:

Vanessa Hillius

Division: IGM Legal and Compliance

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.

• 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 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, and 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: the Supervisor Exam, the Retail Securities Exam, and the Canadian Investment Regulatory Exam (CIRE), depending on experience.
• Training required following registration/licensing.
• Must satisfy other continuing education requirements as required by the regulators.
• In‑depth knowledge of the financial services industry, including regulatory requirements of CIRO, insurance commissions/councils and other regulators.
• Strong oral, written and communication skills must be able to communicate clearly and effectively with various levels of staff, including senior management, and be an effective listener.
• Must have a positive and collaborative approach to teamwork.
• 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.
• Ability to communicate verbally and written in English & French (opened to candidates outside of Quebec). For candidates within Quebec, proficiency in the French language (speaking, reading and writing) is mandatory.

• Competitive base salary, performance‑weighted bonus, education/career support, option to join Employee Share Purchase Plan with employer matching component.
• Competitive health and dental coverage, flexible plan for you and your family, short‑term & long‑term disability plans.
• Voluntary Defined Contribution Pension Plan.
• Paid volunteer days, competitive time off (including 10 wellness days off), Work Perks discount program, hybrid & flex work arrangements.
• Inclusive culture and diversity: engaging with community through Business Resource Groups (BRG).

Expected annual base salary range: $70,500 – $90,000, which is determined based on skills, knowledge and experience and geographic location. In addition to base salary, this role is eligible for annual incentives.

IGM 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, 2

SLGBTQIA+ community, gender diverse and neurodiverse individuals, as well as all who may contribute to the further diversification of ideas.

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 to meet your needs.