Location: Winnipeg, Montreal

IGM Financial Inc. is a leading wealth and asset management company in Canada, managing approximately $310 billion in assets as of December 31, 2025. It offers financial planning and investment services to over two million Canadians through IG Wealth Management and Mackenzie Investments.

Division: IGM Legal and Compliance

Location: Winnipeg, Montreal

IGM Financial Inc. is a leading wealth and asset management company in Canada, managing approximately $310 billion in assets as of December 31, 2025. It offers financial planning and investment services to over two million Canadians through IG Wealth Management and Mackenzie Investments.

Founded in 1926, IG Wealth Management is a key part of IGM's business model, providing comprehensive wealth management services to Canadian financial advisors and their clients.

With a vision to inspire financial confidence, IG Wealth Management is recognized as one of Manitoba’s Top Employers, Canada’s Top 100 Employers, and Best Diversity Employers, aiming to innovate the industry and support Canadians in achieving their financial goals.

Join our team to engage in continuous learning and skill development in a supportive setting. Experience the best of both worlds with our hybrid work environment, where you spend three days a week in the office, connecting, collaborating, and enjoying quality time with your amazing colleagues Our Values: Be better; we strive for improvement in everything we do. Be accountable; we foster clarity and are empowered to act responsibly. Be a team; we are united to drive collective impact to achieve our goals.

We are currently looking for a Senior Compliance Specialist to join our Compliance team.



The mandate of the Compliance Department is to ensure compliance with relevant regulatory requirements affecting investment dealers, including rules, policies, and by-laws of CIRO, provincial securities commissions, insurance commissions/councils and other regulators. The Compliance Department works closely with Distribution Leadership and other management to develop appropriate corporate policies, identifies and promotes good business practices, executes business review programs to monitor sales practices, manages client complaint resolution processes and conducts branch examination programs.

Position Summary

The Senior Compliance Specialist is responsible for the oversight of Advisor business activities and the execution of various compliance programs, including business practice reviews, business approvals, supervisory programs, compliance investigations and support for regulatory inquiries.

The work involves gathering and analyzing information from various sources, including client and Advisor file documentation, account and transaction records, reports, audit procedures, interviews and other relevant information, to identify trends, issues and potential compliance concerns. The Senior Compliance Specialist is responsible for identifying and recommending appropriate resolutions and corrective actions, communicating recommendations to affected parties,



and following up to ensure actions are effectively implemented and well documented.

Duties Include

- Review and respond to communications received in the Compliance, IG Mailbox.
- Provide oversight of Advisor business practices, including financial planning and business approvals.
- Lead Compliance Practice Review programs, including developing action plans, executing reviews, monitoring and resolving issues, and reporting on results.
- Gather and analyze information to support compliance investigations, client complaint reviews and regulatory inquiries, including comprehensive reviews of client files, account activity, transaction histories, projections and value calculations.
- Communicate with Advisors, Regional Management and internal business partners to obtain relevant information and support the resolution of compliance matters.
- Assess findings and recommend appropriate resolutions, remedial or corrective actions, including coaching, meetings or conference calls, training, exception approvals and other measures to address identified deficiencies.
- Support the resolution and closure of complaint and investigation files, including preparation of client communications and oversight of account adjustments, where applicable, to support timely and accurate resolution.
- Prepare and coordinate management and periodic reporting on compliance programs, investigations and other matters for senior management and/or regulators.
- Recommend and participate in the development and implementation of changes to policies, procedures and compliance processes based on identified issues, trends and lessons learned.
- Respond to compliance-related queries from Advisors, Regional Management and intern

📌 Senior Compliance Specialist, Compliance (Quebec City)
🏢 IG Wealth Management
📍 Quebec City