Mackenzie Investments

  • Director, Operation, Financial & Regulatory Compliance Auditing

    Job Location CA-ON-Toronto
    Posted Date 1 week ago(5/14/2018 3:23 PM)
    Reference Number
    # Positions
    Job Type
    Full Time
    Job Industry
    Financial Services and Banking
    Career Level
    Years of Experience
  • Job Description

    IGM Financial Inc. is one of Canada's premier personal financial services companies, and one of the country’s largest managers and distributors of mutual funds and other managed asset products, with over CAD$154 billion in total assets under management at October 31, 2017. Its activities are carried out principally through Investors Group, Mackenzie Investments and Investment Planning Counsel.


    Mackenzie Investments was founded in 1967 and is a leading investment management firm providing investment advisory and related services to retail and institutional clients. As part of IGM (a subsidiary of the Power Financial Group of Companies), it is the largest independent asset manager in Canada.


    Our Vision

    Everything we do starts with the needs of investors, whether they are saving for a child’s postsecondary education, setting money aside for the future needs of a family member with a disability, or funding their own retirement. In fact, our focus is summed up in our Vision statement: We are committed to the financial success of investors, through their eyes.


    Our Values

    Our growth and success are the direct result of our employees, and we strive to create a workplace supported by the following core values: Creativity and Innovation, Strong Decision Making, Collaboration, Courage, Honesty and Integrity, Confidence and Pride.


    At Mackenzie Investments you can Build Your Career with Confidence by:

    Changing the Game:  We have a vision and a strategy that will challenge the way business in this industry is done and help Canadians be successful in the ways that mean the most to them.

    Making a Smarter World: We believe in continuous learning, understanding what is most important and sharing the benefits of that knowledge.

    Being Proud: As a part of our team you will do some of your best work, develop some of your most valuable skills and give back in ways that make a difference in the lives of Canadians.

    Joining an Unstoppable Team: We build teams that look out for each other, ask the best of each other and deliver the finest work.

    Learning and Growing: We offer an environment where you can indulge your curiosity to learn; getting the challenges and feedback you need to refine your skills and abilities.

    Thriving in a Supportive Environment:  We have created a workplace where your efforts and career are supported by your team and your leader.


    The Role


    The Internal Audit Department is an independent appraisal function within the Corporation which has been established in order to examine and evaluate the activities of the Corporation. The objective of Internal Audit is to assist members of the Corporation in the effective discharge of their responsibilities. To this end, Internal Audit furnishes these individuals with analyses, appraisals, recommendations, counsel and information concerning the activities reviewed. The audit objective includes promoting effective and efficient controls. The members of the Corporation who are assisted by Internal Audit include those in Management and the members of the Board of Directors.


    Reporting to the Chief Audit Executive (CAE), the Director, Operational, Financial and Regulatory Compliance Audit position is responsible for the planning, development, execution, and coordination of audit activities within designated segments of Investors Group, Mackenzie Investments and IPC. This position is also responsible for managerial activities including the recruitment, hiring and training of personnel, as well as the development and evaluation of audit staff. 


    Responsibilities include:

    • Plan and oversee audits while ensuring adherence to International Professional Practices Framework (IPPF).
    • Review fieldwork activities in connection with audit projects to ensure the effective and timely completion.
    • Report to the CAE on the status and results of audits including significant issues and potential improvements.
    • Engage with senior management to review status of audits and to discuss and review audit findings.
    • Supervise and review the communication of audit results using written reports.
    • Lead, manage and develop audit staff as well as provide assistance with the recruitment, hiring, training and evaluation of staff.
    • Develop and maintain positive working relationships with internal clients and various stakeholders.
    • Assist with the annual risk assessment process and development of the annual audit plan.
    • Assist with reporting to the Audit Committee relating to the annual audit plan and the semi-annual report of audit status and results.



    • Completion of a Bachelor of Commerce degree or other related post-secondary degree.
    • Professional Accounting Designation (CPA, CA, CMA or CGA) and/or Chartered Financial Analyst (CFA) designation.
    • Minimum 8-10 years relevant experience within the Financial Services industry.
    • External / internal audit experience or investment management related experience (including knowledge of regulatory requirements) would be an asset.
    • An equivalent combination of education and experience may be taken into consideration.
    • Strong analytical skills and financial acumen.
    • Excellent interpersonal, verbal and written communication skills.
    • Demonstrated leadership, coaching and problem-solving skills.


    Other job related information: Travel required


    We thank all applicants for their interest in Mackenzie Investments; however only those candidates selected for an interview will be contacted.


    Mackenzie Investments is an equal opportunity employer and is committed to providing employment accommodations in accordance with the Ontario Human Rights Code and the Accessibility of Ontarians with Disabilities Act. Please advise Human Resources if you require an accommodation.


    File #18-060


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