Location: Winnipeg, Montreal

Reports to: Senior Manager Compliance

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 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.

DEPARTMENT SUMMARY:

The mandate of the Compliance Department is to ensure compliance with relevant regulatory requirements affecting investment dealers, including rules, policies and by-laws of the Canadian Investment Regulatory Organization (CIRO), AMF and CSF, 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.

POSITION SUMMARY:

The Manager, Compliance Registrations oversees a team that is responsible for registration filings to the applicable regulators such as Securities Commissions, CIRO and AMF. This includes quality and timely filings regarding licensing, outside activities, terminations, disclosures, business locations, trade names and probationary licensing of insurance candidates and financial planner licensing in Québec, through applicable external regulatory reporting systems including National Registration Database (NRD), Service en Ligne (AMF), and Comprehensive Reporting System (COMSET). The Manager is responsible for providing coaching and guidance to staff, managing workflow, and coordinating training needs to manage service levels. This role also handles sensitive cases and recommends process/policy improvements and mitigation strategies.

DUTIES INCLUDE:

• Manage the team including establish team goals and objectives, monitor workflow and resources to optimize service level achievements.
• Set, monitor and evaluate performance and development for direct reports. Provide guidance and direction to ensure requests deemed as higher risk are properly reviewed and that good judgment is applied.
• Handle escalated and sensitive cases from business partners and/or regulators; provide recommendations to Senior Manager for timely and quality resolution.
• Monitor department processes while working with business partners to ensure appropriate procedures are followed effectively. Identify trends and process improvements.
• Participate in cross-departmental initiatives which includes reviewing, assessing and implementing regulatory and corporate policies and procedures.
• Lead and participate in the development of new