Job Description

Responsibilities

include:
  • Conducting Tier 1 supervision activities including conducting reviews of daily and monthly trading, account opening and KYC updates, outside activities, social media supervision, and service-related complaint resolution on either the investment dealer or mutual fund dealer platform, and or both.

  • Supporting IG Wealth Management registrants in resolving compliance issues with regulatory guideline interpretation and with inquiries relating to acceptance of unique or exceptional situations.

  • Managing regulatory obligations and commitments, such as the 90-day training program, 6-month supervision, periodic on-site sub-branch visits, continuing education, as well as close supervision.

  • Identifying training requirements, implementing and coordinating the delivery of training programs.

  • Participating in internal compliance reviews or external regulator audits conducted in Head Office or Branch/Su...

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