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Manager, Compliance - Tier 1

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IG Wealth Management
📍 Canada, Canada
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Location Canada
📅
Posted March 16, 2026
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Commute Local Area
🎯
Local Opportunity Near You!

This job is in your area. Enjoy a short commute and work close to home.

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Job Description

Responsibilities

include:
  • 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/Su...

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    📍 Location Details

    🌆
    City
    Canada
    🗺️
    Country
    Canada
    🚗
    Commute
    Local Area

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