- Review and respond to communications received in Compliance Investigations mailbox, including investigating concerns to determine if a complaint file is warranted.
- Establish new complaint files, complete regulatory reporting, and send initial communications to Clients & Field, and internal stakeholders primarily related to Advisors based in Quebec.
- Review all regulatory inquiries from CIRO, OBSI, AMF, CSF, Securities Commissions, Insurance Councils, and other regulatory oversight bodies.
- Review the analysis and conclusion of complaints and internal investigations as required.
- Prepare, manage, and respond to all regulatory requests related to the complaint investigation files.
- Retrieve all requested information from the complaint investigation file, client file, Head Office documentation, including Policy & Procedures.
- Acts as Liaison with the Field (SVP, RVP, Advisors) on matters related to investigation file including proposed. settlements, guidance on regulatory interviews, enforcement, and disciplinary matters.
- Communicate with Advisors, Regional Management and internal business partners and respond to all regulatory inquiries related to Compliance Investigations files.
- Prepare draft responses to regulatory requests for Senior Manager's review.
- Correspond with Senior Management and Legal on escalated matters.
- Manage and oversee the interviews and appeals process from OBSI, AMF, etc.
- Recommend solutions and participate in the implementation of process improvements and changes to policies and procedures.
- Minimum 7 years of experience in a financial services environment, preferably in a compliance-related role
- Post-secondary degree in a relevant business discipline
- Successful completion of industry courses is considered an asset.
- Completion of or commitment to complete, Canadian Securities Course (CSC)
- Life Licensing Qualification Program (LLPQ) or equivalent program in Quebec is an asset.
- In-depth knowledge of the financial services industry and a good understanding of financial planning strategies
- Understanding of rules, policies, and by-laws of CIRO, the AMF, the CSF, provincial securities commissions, insurance commissions/councils and other regulators
- Excellent interpersonal, written and oral communication skills including the ability to communicate at the right level for the audience and present information in a convincing manner.
- Excellent problem solving, decision-making and organizational skills.
- Ability to prioritize and perform multiple tasks and deal with interruptions while working within a deadline-oriented environment
- Proficiency in French and English languages (speaking, reading, and writing) is mandatory.
Bilingual Compliance Investigator - Manitoba, Canada - IG Wealth Management
Description
POSITION SUMMARY
The Bilingual Compliance Investigator is primarily responsible for managing regulatory requests from all applicable regulators and oversight bodies as they relate to complaints and internal investigations, including acting as a liaison between IGWM and the various regulators and oversight bodies.
The work involves conducting analysis of various sources of information including file documentation, reports, and procedures, both current and historical in order to respond to regulatory inquiries, The Investigator provides guidance to Advisors, RVPs and field management about the regulatory process, investigatory steps and interview preparation including completing settlement negotiations as required. The individual will be responsible for communicating recommendations to affected parties and providing guidance to ensure corrective actions can be effectively implemented and well documented.
In addition, this individual will be responsible for managing communications received in the Compliance Investigations mailbox and establishing new complaint files where warranted. This includes regulatory reporting and sending initial communications to advise clients, advisors, and internal stakeholders an investigation file has been opened. As this role requires bilingual communications, French speaking clients, advisors, and Quebec regulators are a focus.
DUTIES INCLUDE:
QUALIFICATIONS: