Compliance Branch Manager - LP Financial Planning Services Ltd Permanent Part Time - For more than 30 years, LP Financial Planning Services Ltd.has supported advisors through personalized, boutique solutions tailored to their unique practices and clients. Innovation, flexibility, and meaningful partnerships are at the core of how we help advisors succeed. Our strategic partnership withCanada Lifestrengthens that foundation.

LP Financial Planning Services Ltd. is a Winnipeg-based Canadian Investment Regulatory Organization ( CIRO) mutual fund dealer that has been supporting financial advisors for over thirty years and continually strives to integrate industry-leading processes and systems. Presently servicing a select group of elite advisors in NW Ontario, Manitoba, and Western Canada, LP Financial is taking steps to grow its footprint and service offering in the Canadian financial services distribution landscape.

The Compliance Branch

Manager, reporting directly to the Chief Compliance Officer, will play a key role on the operations team to fulfill the multifaceted regulatory obligations of a mutual fund dealer. This position has a broad range of responsibilities that will allow the successful candidate to learn, experience and flourish in many different areas of compliance. Provide expertise and advice on regulatory compliance obligations to business partners and advisors

- Conduct ongoing compliance monitoring activities of mutual fund registrants at either a Tier 1 or 2 level
- File National Registration Database (NRD) registration applications, notices and terminations
- Collaborate on and participate in updates of the policy and procedures manual to meet current and revised CIRO rules
- Work with the dealer’s Investment Product Committee to fulfil its KYP obligations
- Review marketing materials and co-operative marketing requests
- Preparation for and handling of audit examinations conducted by Internal audit and CIRO
- Occasionally travel to branches to conduct reviews, interviews and/or training




- Develop and maintain deep knowledge of various legislative obligations at both the provincial and federal level as well as regulations of self-regulatory organizations (CIRO) and industry groups
- Demonstrate a high level of technical and business acumen to ensure compliance risk is managed appropriately
- Post secondary degree or diploma in business or finance; ~5 years of progressive compliance experience within mutual fund or securities industry; ~ 2+ years’ licensed as a Dealing Representative or Branch Manager at an Mutual Fund Dealer (MFD), or as a Registered Representative, Investment Representative, or Supervisor at an Investment Dealer (ID) ~ Industry courses such as IFIC/CSC, Branch Managers’ Course, and/or Partners, Directors and Senior Officers, etc. ~ Advanced working knowledge of MS Office (Excel, PowerPoint, SharePoint and Word). ~ A Criminal Record and Credit background check is mandatory as a condition of employment.
- This represents base salary only and does not represent other variable compensation components of our total compensation ( i.e. annual bonus, commission etc). Career opportunities will be open a minimum of 5 business days from the date of posting, closing dates will vary depending on the search activity. Our company is trusted by 1 in 3 Canadians and contributes to the strength of communities across the country. We’relooking for people who live our values everyday: we step up, we do the right thing, and we deliver – for our customers,communitiesand each other.We’re committed to supporting our employees through every stage of their career. Here’s what you can expect as a full-time or part-time permanent team member: ~ Career Development : Flexible health and dental benefits,plus a $5,000 mental health benefit to support your well-being. ~ Time Off: In addition to regular vacation andpersonal days,we support communityinvolvement with avolunteer day. ~ Financial Security: Company-matching pension plan,share ownership program andadditionalinvestment options. All information provided will be handled in accordance with applicable laws and Canada Life policies.

📌 Compliance Branch Manager - LP Financial Planning Services Ltd (Winnipeg)
🏢 TechAlliance of Southwestern Ontario, London Economic Development
📍 Winnipeg