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Added 1 hour ago
NB
Branch Manager
National Bank of Canada
Dolbeau-Mistassini, QC
- Full-time
Promote and foster the advisory approach of the banking advisor model
Added 8 hours ago
FT
Automotive Service Advisor
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- Other
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Added 8 hours ago
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Inside Sales Representative, Edmonton (Roper Road)
Fountain Tire
Edmonton, AB
- Other
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Added 9 hours ago
NB
Investment Advisor
National Bank of Canada
Montreal, QC
- Full-time
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Added 9 hours ago
NB
BANKING ADVISOR
National Bank of Canada
Saint-Constant, QC · St Constant, QC
- Full-time
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Added 10 hours ago
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- Full-time
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Added 11 hours ago
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Added 13 hours ago
DB
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Part Time Bridal Sales
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Part Time Bridal Sales
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Added 14 hours ago
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Business Development Associate
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Montreal, QC
- Full-time
…and a Business Development Manager. Your mission? Help drive sales growth and build strong advisor…
Added 14 hours ago
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Assistant Branch Manager
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- $64,400 to $82,500 CAD / year
- Full-time
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Added 14 hours ago
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Senior Compensation Partner, Sales & Marketing
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Vancouver, BC · Greater Vancouver Metropolitan Area
- Full-time
The Senior Compensation Business Partner, Sales & Marketing is the trusted compensation advisor to Autodesk's Sales organization within the COO, covering both commissioned and…
Added 14 hours ago
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Senior Compensation Partner, Sales & Marketing
Autodesk
Toronto, ON · Greater Toronto Area, Canada
- Full-time
The Senior Compensation Business Partner, Sales & Marketing is the trusted compensation advisor to Autodesk's Sales organization within the COO, covering both commissioned and…
Added 15 hours ago
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Manager, Customer Experience
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- Full-time
…customer experience strategy. This individual acts as a trusted advisor to executive leadership, leading complex analyses, developing innovative solutions, and shaping long-term CX…
Added 16 hours ago
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Beauty Advisor - Part Time
sephora.com
Kitchener, ON
- $19.2 to $22.6 CAD / hour
Your role at Sephora Canada: As a Beauty Advisor, you'll be the face of Sephora Canada’s welcoming every client with warmth, confidence, and a passion for all things beauty. Through…
Added 19 hours ago
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Senior Manager, Events
IG Wealth Management
MB · Manitoba, Canada
- Full-time
…strategic event marketing and experience design to support the sales, distribution, and growth objectives of IG Wealth Management and Mackenzie Investments. By partnering closely with…
Added 19 hours ago
IW
Senior Manager, Events
IG Wealth Management
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- Full-time
…strategic event marketing and experience design to support the sales, distribution, and growth objectives of IG Wealth Management and Mackenzie Investments. By partnering closely with…
Added 19 hours ago
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Associate Financial Advisor
CIBC
Brampton, ON
- Full-time
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Added 20 hours ago
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Added 20 hours ago
Digital Sales Operations Specialist - Digital Sales
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Added 20 hours ago
Associate Wealth Advisor
First West
Chilliwack, BC
We are currently seeking an Associate Wealth Advisor to join our team.
Added 20 hours ago
Assistant Branch Manager (Enderby Branch)
First West
Enderby, BC
The ABM is responsible for the leadership of an assigned team of branch advisory employees (up to the Financial Advisor position) and ensures current and potential members receive…
Added 20 hours ago
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Personal Insurance Advisor
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IG Wealth Management

Senior Compliance Specialist, Compliance

Quebec, QC, Canada

The expected annual base salary range for this role is $62,500 - $72,500 which is determined based on skills, knowledge and experience and geographic location. · Full-time

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Job details

Pay: The expected annual base salary range for this role is $62,500 - $72,500 which is determined based on skills, knowledge and experience and geographic location.
Job type: Full-time
Apply by: Dec 4, 2026
Experience: 4+ years of experience in the financial services industry, preferably with exposure to a compliance, investigations, supervision or related environment.
Posting language: English
Posted: Nov 4, 2026

Original job description

Division:  IGM Legal and Compliance

Location:  Winnipeg, Montreal

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.

We are currently looking for a Senior Compliance Specialist to join our Compliance team. The mandate of the Compliance Department is to ensure compliance with relevant regulatory requirements affecting investment dealers, including rules, policies, and by-laws of CIRO, provincial securities commissions, insurance commissions/councils and other regulators. The Compliance 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.

Position Summary

The Senior Compliance Specialist is responsible for the oversight of Advisor business activities and the execution of various compliance programs, including business practice reviews, business approvals, supervisory programs, compliance investigations and support for regulatory inquiries.

The work involves gathering and analyzing information from various sources, including client and Advisor file documentation, account and transaction records, reports, audit procedures, interviews and other relevant information, to identify trends, issues and potential compliance concerns. The Senior Compliance Specialist is responsible for identifying and recommending appropriate resolutions and corrective actions, communicating recommendations to affected parties, and following up to ensure actions are effectively implemented and well documented.

Duties Include

Review and respond to communications received in the Compliance, IG Mailbox.
Provide oversight of Advisor business practices, including financial planning and business approvals.
Lead Compliance Practice Review programs, including developing action plans, executing reviews, monitoring and resolving issues, and reporting on results.
Gather and analyze information to support compliance investigations, client complaint reviews and regulatory inquiries, including comprehensive reviews of client files, account activity, transaction histories, projections and value calculations.
Communicate with Advisors, Regional Management and internal business partners to obtain relevant information and support the resolution of compliance matters.
Assess findings and recommend appropriate resolutions, remedial or corrective actions, including coaching, meetings or conference calls, training, exception approvals and other measures to address identified deficiencies.
Support the resolution and closure of complaint and investigation files, including preparation of client communications and oversight of account adjustments, where applicable, to support timely and accurate resolution.
Prepare and coordinate management and periodic reporting on compliance programs, investigations and other matters for senior management and/or regulators.
Recommend and participate in the development and implementation of changes to policies, procedures and compliance processes based on identified issues, trends and lessons learned.
Respond to compliance-related queries from Advisors, Regional Management and internal business partners.
Mentor and provide guidance to junior staff on unusual, sensitive and escalated cases and assist in determining appropriate corrective actions.

Qualifications

4+ years of experience in the financial services industry, preferably with exposure to a compliance, investigations, supervision or related environment.
Completion of a post-secondary degree in a relevant business discipline.
Completion of or commitment to complete the Canadian Securities Course (CSC), Canadian Investment Regulatory Exam (CIRE), or equivalent industry-recognized proficiency qualifications. Additional industry or compliance-related courses or designations are considered an asset.
Fluency in French is preferred.
In-depth knowledge of the financial services industry, investment products and a good understanding of financial planning strategies.
Understanding of rules, policies, and by-laws of CIRO, the AMF, the CSF, provincial securities commissions and other regulators.
Proven analytical, investigative and problem-solving skills, including the ability to review complex client files, account activity and transaction information, identify relevant issues and develop well-supported recommendations.
Strong written and oral communication skills, with the ability to communicate clearly and professionally with Advisors, Regional Management, internal business partners, clients and regulators, as applicable.
Well-developed organization and time-management skills with the ability to prioritize, perform multiple tasks, deal with interruptions and meet deadlines with limited supervision.
Demonstrated proficiency in PC applications, including Microsoft Word, Excel, PowerPoint, Outlook, SharePoint and Teams, and agility in learning new systems and internal client/account platforms.
Strong ability to exercise sound judgement, handle sensitive matters and maintain confidentiality.
Must have a positive attitude and collaborative approach to teamwork.

The expected annual base salary range for this role is $62,500 - $72,500 which is determined based on skills, knowledge and experience and geographic location. In addition to base salary, this role is eligible for annual short-term incentive, health and well-being benefits, retirement and savings plan, paid time off and career development.

Benefits

COMPETITIVE COMPENSATION & RECOGNITION: competitive base salary, performance-weighted bonus, education/career support, option to join Employee Share Purchase Plan with employer matching component.
EMPLOYEE BENEFITS & INSURANCE: competitive health and dental coverage, flexible plan for you and your family and short-term & long-term disability plans.
RETIREMENT SAVINGS PROGRAMS: voluntary Defined Contribution Pension Plan
WORK LIFE BALANCE: paid volunteer days, competitive time off, including 10 wellness days off, WorkPerks discount program, hybrid & flex work arrangements.
INCLUSIVE CULTURE AND DIVERSITY: living our core values: Be a Team, Be Accountable, Be Better, engaging with community through Business Resource Groups (BRG communities are volunteer employee-led groups formed around a common interest, identity, or background).

IGM is a diverse workplace ce diversity present across Canada – including racialized persons, women, Indigenous persons, persons with disabilities, 2SLGBTQIA+ community, gender diverse and neurodiverse individuals, as ommitted to doing business inclusively - this starts with having a representative workforce!

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 who will work with you to meet your needs.

How to Apply: Interested candidates are invited to submit their resume and a cover letter detailing their qualifications and experience to https://www.ig.ca/en/careers

We thank all applicants for their interest in IG Wealth Management; however, only those candidates selected for an interview will be contacted.

Artificial Intelligence in Recruitment: As part of our Talent Acquisition process, we may use artificial intelligence and automated tools to support activities such as candidate sourcing, application review, and interview scheduling. These tools support the recruitment process; all hiring decisions are made by people.

Please apply before November 12 2026.

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More about this job

Responsibilities

Oversee advisor business activities and execute compliance programs, including practice reviews, approvals, supervision, investigations, complaint reviews, and regulatory inquiries. Analyze findings, recommend and monitor corrective actions, communicate with stakeholders, prepare reports, and contribute to policy improvements while mentoring junior staff.

Requirements

Requires at least four years of financial services experience, a relevant post-secondary degree, and completion of or commitment to complete the Canadian Securities Course, Canadian Investment Regulatory Exam, or an equivalent qualification. Candidates should have strong knowledge of investment products, financial planning, and applicable regulations, along with analytical, communication, organizational, and judgment skills; French fluency is preferred.

Skills

Compliance Oversight
Compliance Investigations
Business Practice Reviews
Financial Planning
Regulatory Inquiries
Client Complaint Resolution
Analytical Skills
Investigative Skills
Problem-Solving
Written and Oral Communication
Organization and Time Management
Sound Judgment
Confidentiality
Microsoft Office
SharePoint
Teamwork

Benefits

Performance-Weighted Bonus
Education and Career Support
Employee Share Purchase Plan with Employer Matching
Health and Dental Coverage
Short-Term and Long-Term Disability Plans
Paid Volunteer Days
Paid Time Off
Wellness Days
WorkPerks Discount Program
Hybrid and Flexible Work Arrangements
Career Development

Visa sponsorship

Not detected in the job text

Keywords

Compliance
Investment Dealers
CIRO
AMF
CSF
Provincial Securities Commissions
Financial Services
Investment Products
Financial Planning
Business Practice Reviews
Business Approvals
Supervisory Programs
Compliance Investigations
Client Complaints
Regulatory Inquiries
Corrective Actions
Advisor Oversight
Client Files
Account Activity
Transaction Histories
Management Reporting
Canadian Securities Course
Canadian Investment Regulatory Exam
Microsoft Word
Microsoft Excel
Microsoft PowerPoint
Microsoft Outlook
SharePoint
Microsoft Teams
Policy and Procedure Development

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