Compliance Branch Manager - LP Financial Planning Services Ltd

Permanent Part Time

For more than 30 years, LP Financial Planning Services Ltd. has supported advisors through personalized, boutique solutions tailored to their unique practices and clients. Innovation, flexibility, and meaningful partnerships are at the core of how we help advisors succeed.

Our strategic partnership with Canada Life strengthens that foundation. It expands access to broader expertise and global scale—allowing LP and its advisors to grow, evolve, and deliver even greater value, while preserving the trusted experience advisors and clients rely on.

LP Financial Planning Services Ltd. is a Winnipeg-based Canadian Investment Regulatory Organization (CIRO) mutual fund dealer that has been supporting financial advisors for over thirty years and continually strives to integrate industry-leading processes and systems. Presently servicing a select group of elite advisors in NW Ontario, Manitoba, and Western Canada, LP Financial is taking steps to grow its footprint and service offering in the Canadian financial services distribution landscape.

The Compliance Branch Manager, reporting directly to the Chief Compliance Officer, will play a key role on the operations team to fulfill the multifaceted regulatory obligations of a mutual fund dealer. This position has a broad range of responsibilities that will allow the successful candidate to learn, experience and flourish in many different areas of compliance.

• Provide expertise and advice on regulatory compliance obligations to business partners and advisors;
• Conduct ongoing compliance monitoring activities of mutual fund registrants at either a Tier 1 or 2 level;
• File National Registration Database (NRD) registration applications, notices and terminations;
• Collaborate on and participate in updates of the policy and procedures manual to meet new and revised CIRO rules;
• Work with the dealer’s Investment Product Committee to fulfil its KYP obligations;
• Review marketing materials and co-operative marketing requests;
• Preparation for and handling of audit examinations conducted by Internal audit and CIRO;
• Occasionally travel to branches to conduct reviews, interviews and/or training;
• Develop and maintain deep knowledge of various legislative obligations at both the provincial and federal level as well as regulations of self-regulatory organizations (CIRO) and industry groups;
• Demonstrate a high level of technical and business acumen to ensure compliance risk is managed appropriately;

• Post secondary degree or diploma in business or finance;
• 5 years of progressive compliance experience within mutual fund or securities industry;
• Deep knowledge of mutual fund regulation
• 2+ years’ licensed as a Dealing Representative or Branch Manager at an Mutual Fund Dealer (MFD), or as a Registered Representative, Investment Representative, or Supervisor at an Investment Dealer ()
• Industry courses such as IFIC/CSC, Branch Managers’ Course, and/or Partners, Directors and Senior Officers, etc.
• Ability to apply analytical skills to resolve a variety of complex situations;
• Ability to build relationships and influence change effectively with a broad range of individuals and groups;
• Very good organizational skills with strong attention to detail, ability to prioritize, multi-task and meet deadlines;
• Excellent verbal and written communication skills; and
• Advanced working knowledge of MS Office (Excel, PowerPoint, SharePoint and Word).
• A Criminal Record and Credit background check is mandatory as a condition of employment.

The base salary for this position is between $59,800 - $99,700 annually. This represents base salary only and does not represent other variable compensation components of our total compensation ( i.e. annual bonus,…