Manager, Compliance - Tier 1

Responsibilities

• Conducting Tier 1 supervision activities including conducting 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.
• Supporting IG Wealth Management registrants in resolving compliance issues with regulatory guideline interpretation and with inquiries relating to acceptance of unique or exceptional situations.
• Managing 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.
• Identifying training requirements, implementing and coordinating the delivery of training programs.
• Participating in internal compliance reviews or external regulator audits conducted in Head Office or Branch/Sub-Branch office locatio...