Team Lead, Compliance - IPCC Corporate

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?

The Team Lead, Compliance is a unique, hybrid role that incorporates the knowledge and duties of a Corporate Branch Manager together with the ability to provide support regarding the day-to-day activities of the team by coaching them to meet expectations and SLAs, being the first level of escalation, and assisting with the implementation of new initiatives and process improvements.
 

WE WANT YOU TO JOIN OUR TEAM OF WINNERS!

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

What is the role of the Team Lead, Compliance?

In addition to the regular duties and supervision functions of a Corporate Branch Manager:
 

• Provide leadership, coaching and mentoring to an assigned group of Corporate Branch Managers and act as the first point of contact on supervisory matters requiring escalation, review, or guidance
• ​​​​​​​Build strong partnerships and relationships with internal departments and branch associates
• Continuously develop and execute team process improvements
• Establish and maintain effective communication and relationships across teams
• Identify training issues, learning opportunities and knowledge gaps within the team, and develop useful learning paths for the team in conjunction with IPC partners and other resources
• Monitor team workload and respond accordingly to changing conditions to meet outlined SLAs and team resource needs
• Support management by recognizing positive contributions by team members, providing on the job coaching, and facilitating team monthly meetings
• Identify issues with potential for unforeseen risk to IPC
• Contribute to own professional development planning through active participation in coaching sessions with management

What traits and competencies should a Team Lead, Compliance possess?

• Relationship-building skills with a commitment to establishing long-term partnership
   
• Strong verbal and written communication skills and ability to communicate goals and objectives of IPC to stakeholders across levels of the organization clearly and concisely
   
• Strong time management skills with an ability to manage various workloads

What are the preferred qualifications for a Team Lead, Compliance?

• Minimum 5 years of experience in the Financial Industry, with an MFDA or IIROC dealer, including prior Branch Manager experience
   
• Post-secondary education
• Completion of the Investment Funds in Canada (IFIC), Canadian Securities Course (CSC), Conduct and Practices Handbook Course (CPH), Branch Managers Course (CSI) and/or IFSE equivalents is mandatory
   
• Ability to be licensed and approved as an MFDA or IIROC Branch Manager
   
• ​​​Experience working in the MFDA or IIROC Dealer Compliance environment with a good working knowledge of Univeris and/or other back-office software solutions preferred
   
• ​​​​​​​Working 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
  ​​​​​​​
• Awesome hybrid working environment

If someone you know sounds like a great fit for this role, send them this job posting and encourage them to apply!

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