Senior Compliance Specialist

Mackenzie Financial Corporation•Toronto, ON

1d•CA$69,000 - CA$83,500•Hybrid

About The Position

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. Mackenzie Investments, founded in 1967, is a key part of IGM's business model, serving as a comprehensive asset-management partner for Canadian financial advisors and their clients. At Mackenzie Investments You Can Build Your Career with Confidence. We are proud to be recognized as one of Canada’s Top 100 Employers for the fourth consecutive year and one of Canada’s Best Diversity Employers. Our vision and strategy aim 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 environment. 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.

Requirements

Two or more years relevant experience (asset management, compliance, or risk preferred).
Working knowledge of retail compliance requirements.
Experience executing monitoring and testing activities.
Strong analytical capability and attention to detail.
Ability to apply established frameworks and escalate appropriately.
Strong communication and organizational skills.
Proficiency in Microsoft Office tools.

Nice To Haves

CSC preferred.

Responsibilities

Conduct reviews across key retail compliance areas, including sales practices, short-term trading, client trade processing, complaints, and regulatory information requests.
Execute testing procedures and document results in accordance with standards.
Investigate alerts and exceptions.
Assess against defined criteria.
Clearly document findings and escalate issues with supporting rationale.
Prepare input for complaint responses, short-term trade reviews, and information requests.
Maintain logs and supporting documentation.
Maintain procedures, records, and audit-ready documentation.
Provide guidance on well-defined issues and explain requirements.
Escalate complex or ambiguous matters appropriately.
Assist with targeted testing, audits, and regulatory reviews.
Maintain knowledge of applicable regulations, systems, and internal processes.
Perform other compliance responsibilities as assigned to support team priorities.