Current Opportunities (Hero)

Current opportunities

Compliance Officer (18 Month Contract)

Compliance Officer (18 Month Contract) — Compliance MFDA


With your background, skills and experience you’ve already found success in the wealth management industry. Have you found your ideal firm, one that encourages you to pursue a balanced lifestyle as well as professional success?

Our Compliance, MFDA team is currently growing! We’re seeking a Compliance Officer, MFDA who will perform daily supervisory functions in accordance with MFDA Rules and IPCIC Policies and Procedures. The Compliance Officer, MFDA is also responsible for timely reporting, trend analysis, responding to Advisor inquiries, maintaining supervisory applications, promoting a culture of compliance and building awareness of the importance of risk management. This position offers the ability to work remotely from home several days per week.

WE WANT YOU TO JOIN OUR TEAM OF WINNERS!

At Investment Planning Counsel we’ve designed every aspect of the Compliance Officer role with you in mind.

What is the role of the Compliance Officer?

Conduct daily, monthly and quarterly supervision for all Advisors, fulfilling all requirements for Tier 2 supervision as defined within MFDA Policy 2, IPCIC’s Standard Operating Procedures and IPCIC’s Policies and Procedures. These duties include but are not limited to:

  • Conduct daily Tier 2 Trade Supervision
  • Review Monthly and Quarterly trend reports
  • Monitoring for compliance with IPCIC and MFDA standards
  • Following up, monitoring and tracking inquiries and deficiencies, taking corrective action
  • Provide review/approval of leverage proposals and transactions in leveraged accounts
  • Maintain accurate and timely record-keeping of trade reviews performed and trade inquiries issued, providing management oversight reports as requested
  • Respond to inquiries from Advisors, Advisor Support Professionals, Branch Managers and head office staff in a timely and effective manner, providing clarification and interpretation of firm policies and applicable industry regulatory requirements
  • Support Branch Managers by generating and issuing timely reporting to assist with Tier 1 Supervision
  • From time to time the Compliance Officer may be called upon to assist with resolving regulatory inquiries from the MFDA and may also be called upon to assist with special compliance projects, assignments or reports

What traits and competencies should a Compliance Officer possess?

  • Ability to use time management skills to prioritize and meet tight deadlines
  • Relationship-building skills with a commitment to establishing long-term Advisor relationships
  • Ability to think critically and use sound judgment when supporting Advisors

What are the preferred qualifications for a Compliance Officer?

  • Minimum of 2 years of Compliance experience in the Financial industry, preferably with an MFDA or IIROC dealer.
  • Post-Secondary diploma or degree in Business, Finance, Economics or other related discipline
  • Completion of the CSC or IFIC required. Completion of the Branch Managers Course (CSI or IFSE equivalent) preferred
  • Knowledgeable in MFDA Sales Practices rules and regulation. General familiarity with regulations concerning the mutual fund industry, including federal and provincial legislation covering anti-money laundering, privacy and other related compliance matters.
  • Experience working in the MFDA Dealer Compliance environment with a good working knowledge of Univeris, Portfolio Aid and/or other back office software solutions preferred
  • Excellent time-management skills and ability to self-motivate
  • Strong knowledge of Microsoft Suite of products (Word, Excel, Power Point, Outlook)

What is #lifeatIPC?

  • Awesome support in providing industry-leading training to help you succeed in your role
  • Awesome community involvement opportunities through IPC Cares
  • Awesome perks: benefits that fit your needs, pension, share purchase plan, corporate discount plans, social events, summer hours, and fun
  • Awesome recognition: kudos, all-star program, rising star, and the circle of excellence
  • Awesome Leadership teams that know your name

If you continue in the selection process, please notify us of any particular accommodation you might require. Any information you send us will be treated with complete confidence.