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- Oversight of the advisor's practice with an emphasis on the supervision of insurance, financial planning, mortgage, and banking solutions.
- Lead Compliance Practice Review programs (develop an action plan, execute the program, monitor to resolve issues, and report on results)
- Provide guidance and direction to the field including recommendations on remedial actions, including meetings or conference calls, training presentations, and exception approvals, to assist with the resolution of deficiencies.
- Prepare management reports on completed programs for distribution to senior management, field directors, and/or regulators. Monitor progress on corrective actions.
- Mentor and provide guidance to junior staff on unusual, sensitive, and escalated cases, determine appropriate corrective actions.
- Minimum 5 years of experience in a financial services environment preferably with relevant licensed experience in insurance, investment industry, or in a compliance-related role.
- Completion of a post-secondary degree in a relevant business discipline.
- Completion of or commit to complete the Life Insurance Course (LLQP), and the Certified Financial Planners Program (CFP or equivalent program in Quebec) within a specified timeframe.
- In-depth knowledge of financial planning strategies
- In-depth knowledge of the financial services industry, including an understanding of regulatory requirements of the Insurance councils, CIRO, and other regulators
- Proficiency in Microsoft Word, Excel, and internet research
- Proficiency in the French language (speaking, reading, and writing).
- Ability to communicate verbally and in writing in English.
- Comfortable with public speaking and/or presenting to large groups.
Senior Compliance Specialist - Manitoba, Canada - IG Wealth Management
Description
Position Summary
The Senior Compliance Specialist is responsible for the oversight of the advisor's business activities and executing various compliance programs such as reviews of the insurance business practice and implementing supervisory programs. Work involves conducting analysis of various sources of information including file documentation, reports, audit procedures, and interviews to identify trends or issues. The Senior Compliance Specialist is responsible for identifying appropriate corrective actions, communicating recommendations to affected parties, and following up to ensure that corrective actions are effectively implemented and well documented.
Duties Include:
Qualifications: