Mackenzie Investments

Senior Manager, Compliance

Job Location CA-ON-Toronto
Posted Date 2 weeks ago(9/14/2022 10:30 AM)
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 leading diversified wealth and asset management companies with approximately $271 billion in total assets under managements. The company provides a broad range of financial planning and investment management services to help more than two million Canadians meet their financial goals. Its activities are carried out principally through IG Wealth Management, Mackenzie Investments and Investment Planning Counsel.


Under IGM Financial’s unique business model based on leading brands and multi-channel distribution strategy is Mackenzie Investments, founded in 1967.  Mackenzie Investments is a holistic asset-management partner for thousands of Canadian financial advisors and the investors they support. 


At Mackenzie Investments You Can Build Your Career with Confidence.


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. As 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.  We are proud to be recognized as one of Greater Toronto’s Top Employers (2022) by Mediacorp Canada Inc. for empowering our employees with the tools to thrive while working remotely, while also providing resources to ensure physical and mental wellness were put front and centre.


Join an unstoppable team that is embedded in continuous learning, understanding, and knowledge sharing. You will thrive in our supportive environment where you can indulge your curiosity to learn, while receiving the feedback you need to refine your skills and abilities. We are dedicated to offering a hybrid work environment when applicable.


Mackenzie Investments is a diverse workplace committed to doing business inclusively - this starts with having a representative workforce! We encourage applications from all qualified candidates that represent the diversity present across Canada – including racialized persons, women, Indigenous persons, persons with disabilities, 2SLGBTQIA+ community, gender diverse and neurodiverse individuals, as well as all who may contribute to the further diversification of ideas.



IGM Financial Inc. is looking for a Senior Manager, Asset Management Compliance to join our team with a focus on investment fund trading and conflicts of interest compliance. We are looking for an experienced individual who has demonstrated leadership skills and can manage compliance activities to support our Investment Management and Fund Services teams. Reporting to the Director, Compliance, the individual will work with the compliance team to ensure the compliance programs meet applicable regulatory requirements and industry best practices with a focus on continuous improvement. 



  • Maintain highly advanced knowledge in trading compliance and conflicts of interest, combining theory, organizational practice, and market practices. Key programs include best execution, trade allocation, cross trading, investments in related companies, soft dollars, and personal trading. 
  • Support the Director in maintaining and enhancing the trading compliance programs ensuring regulatory risks are managed effectively and efficiently through policies, procedures, monitoring, and testing. 
  • Identify and resolve potentially unusual and complex conflicts of interest issues which may require offering alternative courses of action. 
  • Assist the Director by providing regular input for management and board reporting. 
  • Partner with the Senior Manager, Investments Compliance to support programs including sub-advisor oversight and derivatives oversight. 
  • Collaborate with compliance team members in completing team initiatives. 
  • Provide advice to business partners including through participation on business projects. May require negotiation and compromise. 
  • Assist the compliance team as needed with ad hoc inquiries, training, audits, and regulatory reviews. 



  • Post-secondary education in a relevant discipline or equivalent work experience 
  • Minimum seven years of asset management or financial services experience, most recently in a compliance or related role 
  • Knowledge of National Instruments 31-103, 81-102, 81-107, and the Ontario Securities Act; Knowledge of the U.S. Investment Advisers Act and Investment Company Act is an asset 
  • Knowledge of derivatives trading; Completion of the Derivatives Fundamentals Course, Options Licensing Course, and/or Futures Licensing Course is an asset 
  • Strong research, analytical, and critical thinking skills with ability to assess risk, negotiate, and compromise 
  • Effective communication skills including ability to communicate at the right level for the audience and present information in a convincing manner 
  • Strong organizational skills with ability to prioritize and perform multiple tasks and deal with interruptions while working within deadlines 
  • Knowledge of Bloomberg AIM is an asset 


Please visit our career page by clicking on the following link:


For internal applicants, please share with your current leader your intent to apply to the role. In the event that you are selected, please let your Talent Acquisition Partner know if you are in any other internal recruitment process.


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 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.




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