Grade: P6

Referral Level: Level 1

Division: IGM Legal & Compliance

IGM Financial Inc. is one of Canada's leading diversified wealth and asset management companies with approximately $252 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 and Mackenzie Investments

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 Canada’s Top Employers 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.

Position Summary:  The Senior Compliance specialist will support the Tier 1 Compliance team by conducting preliminary reviews and risk assessments of various activities, reports across multiple compliance programs. They will identify, investigate, and report compliance related issues, irregularities, and violations to the appropriate compliance manager.  In addition, they will assist with daily compliance related actions of the greater Tier 1 Compliance team as necessary.

Duties Include:

• Assist in the maintenance and administration of compliance reports and reporting as they relate to the T1 Compliance Team.
• Execute preliminary reviews of compliance related data using a risk-based approach across various platforms and escalate items of risk to the appropriate T1 Compliance Manager for further review and assessment
• Collaborate with the T1 Compliance team on projects, activities, and other initiatives, including ad hoc team requirements
• Participate in internal compliance reviews or external regulatory audits conducted in head office or Branch/Sub-Branch office locations

Qualification:

• 4+ years of experience in a financial services environment
• Completion of a post-secondary degree or diploma in a relevant business discipline
• Completion of and/or commitment to complete the Canadian Securities Course (CSC), Conduct and Practices Handbook (CPH) and Investment Dealer Supervisors Course (IDSC) within a specified timeframe
• In-depth knowledge of the financial services industry, including a strong understanding of regulatory compliance requirements
• Proven analytical and problem-solving skills. 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, Power Point, Outlook, SharePoint and Teams, agile in learning new systems
• Strong ability to exercise judgement and maintain confidentiality
• Must have a positive attitude and collaborative approach to teamwork
• Bilingual (French) would be considered a strong asset

Please visit our career page by clicking on the following link: https://www.mackenzieinvestments.com/en/careers

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.

Please apply by September 23, 2024.

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