Compliance Administrator II
Investors Group Inc
, Canada
17d ago

We’re Investors Group a Canadian leader in providing the best advice, experience and outcomes for our clients, personalized throughout their lifetime.

This is your opportunity to build a career with a leading organization where you can learn, grow and thrive both professionally and personally.

Our vision : We inspire financial confidence.

At Investors Group we believe :

  • Our success starts with the success of our clients
  • In achieving excellence in all we do, and anything worth doing is worth doing extraordinarily well
  • Only through teamwork can we realize our greatest potential
  • We can never be satisfied with the status quo and that every day we should be focused on creating more value
  • In the power of advice to change lives for the better
  • It is our mission to make a difference in the world and the lives of others
  • If you share our vision and values, we’d like to hear from you.

    The mandate of the Compliance Department is to ensure compliance with relevant regulatory requirements affecting mutual fund and investment dealers, including rules, policies and by-

    laws of the self regulatory organizations (IIROC, MFDA), provincial securities commissions, insurance commissions / councils and other regulators.

    The 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.

    The Compliance Administrator II assists in the administration of compliance activities and procedures, provides administrative support to staff, coordinates various compliance activities and maintains compliance related information and databases.

    Responsibilities include :

  • Providing support to staff by filing, word processing, e-mail management and administering departmental logistics
  • Producing reports on internal systems to identify outstanding trade events
  • Communicating by email with Branch Managers
  • Producing and sending client letters
  • Supporting and administering the account restriction process
  • Tracking client letters and account restrictions on Excel
  • Providing summary information on an ad hoc basis as required
  • Qualifications :

  • Post secondary education or equivalent (i.e. Community College Certificate, Business Administration, Canadian Securities Course (CSC), etc) would be an asset.
  • Minimum 2+ years experience working in a business environment, preferably in financial services
  • Strong communication skills
  • Excellent organizational skills with the ability to prioritize and perform multiple tasks and deal with interruptions while working within strict deadlines
  • Demonstrated proficiency with Microsoft Word, Excel and Access
  • Ability to work with minimal supervision
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