101 Financial Security Advisor jobs in Canada

A career as a Senior Advisor in the Compliance and Wealth Management team at National Bank means acting as a compliance specialist and actively participating in the implementation and evolution of the compliance program of National Bank Trust (NBT) and Natcan Trust Company (NTC). It also means leading and managing new projects to ensure that NBT and NTC comply with regulations and best business practices. Finally, it is influencing the decisions and objectives of this sector of activity. This job allows you to have a positive impact on our organization through your risk management skills and knowledge of securities.

Your job:

• Oversee compliance with the regulatory framework applicable to the activities of NBT and NTC, including laws and regulations relating to trust company activities, securities, the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTF), international sanctions, and internal policies and procedures. More specifically, proactively detect regulatory issues and situations that may expose NBT and NTC and the Bank to regulatory and/or reputational risk and conduct complex analyses in order to take actions or make recommendations to management to reduce risks;
• Provide compliance advice during the design of new products, the delivery of new projects and the management of complex files and influence decision-making;
• Carry out supervision activities and improve work methods and supervision tools in order to optimize the compliance program;
• Ensure the implementation of regulatory projects affecting NBT and NTC;
• Communicate with regulators and respond to inquiries in collaboration with internal partners such as business line, Legal Affairs, etc.);
• Recommend and implement changes to NBT and SFN policies and procedures (implementation of new policies and drafting of procedures, when necessary), based on changing regulations and the needs of the sectors.

Your team:

Within the Wealth Management Compliance practice, you are part of a team of three colleagues and report to the Senior Director, Compliance. Our team stands out for its expertise, its rigor, its willingness to surpass itself and to maintain close relationships with the business sectors. We favor a variety of forms of continuous learning to enrich your development, including learning in action, training content made available to you and working in collaboration with colleagues with diverse expertise and profiles.

Prerequisite:

• A university degree related to the industry and ten years of relevant experience
• Relevant experience in compliance or risk management
• Experience in an advisory role
• Good knowledge of securities regulation and PCMLTF 

A career as a Senior Advisor in the Compliance and Wealth Management team at National Bank means acting as a compliance specialist and actively participating in the implementation and evolution of the compliance program of National Bank Trust (NBT) and Natcan Trust Company (NTC). It also means leading and managing new projects to ensure that NBT and NTC comply with regulations and best business practices. Finally, it is influencing the decisions and objectives of this sector of activity. This job allows you to have a positive impact on our organization through your risk management skills and knowledge of securities.

Your job:

• Oversee compliance with the regulatory framework applicable to the activities of NBT and NTC, including laws and regulations relating to trust company activities, securities, the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTF), international sanctions, and internal policies and procedures. More specifically, proactively detect regulatory issues and situations that may expose NBT and NTC and the Bank to regulatory and/or reputational risk and conduct complex analyses in order to take actions or make recommendations to management to reduce risks;
• Provide compliance advice during the design of new products, the delivery of new projects and the management of complex files and influence decision-making;
• Carry out supervision activities and improve work methods and supervision tools in order to optimize the compliance program;
• Ensure the implementation of regulatory projects affecting NBT and NTC;
• Communicate with regulators and respond to inquiries in collaboration with internal partners such as business line, Legal Affairs, etc.);
• Recommend and implement changes to NBT and SFN policies and procedures (implementation of new policies and drafting of procedures, when necessary), based on changing regulations and the needs of the sectors.

Your team:

Within the Wealth Management Compliance practice, you are part of a team of three colleagues and report to the Senior Director, Compliance. Our team stands out for its expertise, its rigor, its willingness to surpass itself and to maintain close relationships with the business sectors. We favor a variety of forms of continuous learning to enrich your development, including learning in action, training content made available to you and working in collaboration with colleagues with diverse expertise and profiles.

Prerequisite:

• A university degree related to the industry and ten years of relevant experience
• Relevant experience in compliance or risk management
• Experience in an advisory role
• Good knowledge of securities regulation and PCMLTF 

Job Description

Advisor, IG Wealth Management, Corporate Channel

Referral Level: Level 3

Location(s): Quebec City

IGM Financial Inc. is one of Canada's leading diversified wealth and asset management companies with approximately $271 billion in total assets under management. The company provides a broad range of financial planning and investment management services to help more than two million Canadians meet their financial goals. Its activities are carried out principally through IG Wealth Management and Mackenzie Investments.

Under IGM Financial's unique business model based on leading brands and multi-channel distribution strategy, we’re IG Wealth Management. For over 90 years of business, we have grown to become one of the largest most respected companies in Canada. We are a leader in providing the best advice, experience and outcomes for our clients, personalized throughout their lifetime.

At IG Wealth Management, our vision is to inspire financial confidence.

This is your opportunity to build a career with a leading organization where you can learn, grow and thrive both professionally and personally. We are proud to be recognized as one of Canada’s Top Employers by Mediacorp Canada Inc. for empowering our employees with the tools to thrive, while also providing resources to ensure physical and mental wellness were put front and center.

You will join a team that believes our success starts with the success of our clients, while working together as a team to realize our greatest potential. You will join a team that strives towards excellence while developing and sharing skills and knowledge. You can make a difference for our clients, the world around us and be part of a team that cares. We are dedicated to offering a hybrid work environment when applicable.

IG Wealth Management is a diverse workplace committed to doing business inclusively - this starts with having a representative workforce! We encourage applications from all qualified candidates that represent the diversity present across Canada – including racialized persons, women, Indigenous persons, persons with disabilities, 2SLGBTQIA+ community, gender diverse and neurodiverse individuals, as well as all who may contribute to the further diversification of ideas.

Position Summary :

This position requires the successful candidate to be Securities licensed.

Advisors in the Corporate Channel provide proactive outstanding planning and advice to clients leading with the IG Living Plan. The role provides a unique opportunity for financial planners to receive a competitive total compensation package including base salary, bonus, benefits and pension, while having the opportunity to serve existing IG clients and earn uncapped variable income. The Advisor, IG Wealth Management, Corporate Channel role is a primarily remote role where individuals have the opportunity to work from an IG Wealth Management region office when needed as they deliver on IG’s holistic approach to financial planning which goes beyond traditional investment advice to include all aspects of the client’s financial life including investment strategies, retirement planning, mortgages, banking and insurance.

Responsibilities:

• Providing clients with holistic financial plans that consider all aspects of their financial life including their short and long-term goals, tax, retirement, risk management, and estate planning.
• Identifying opportunities to deepen and solidify the relationship with the client while ensuring regulatory guidelines are followed
• Supporting a positive client experience with an 85% focus on servicing existing clients according to the Corporate Channel service standard and 15% on growing the client base.
• Maximizing efficiency and enhancing service levels through the use of IGWM’s digital tools
• Managing day-to-day priorities, servicing inbound/outbound client contacts, executing on proactive campaigns, and retention activities that are provided by our Marketing team.
• Using reporting, tools, and analysis to support the identification of future business opportunities.

Qualifications :

• Securities licensed
• 3+ years of client facing financial planning experience
• Performance-driven high achiever with strong relationship and sales skills along with demonstrated financial planning excellence.
• Post Secondary Education in a relevant field
• LLQP and Provincial Licensing exam passed for Insurance required.
• Proficiency in the use of digital tools, including CRM and Financial Planning software
• Certified Financial Planner (CFP) or Financial Planner (“F.Pl") designation preferred or willing to actively pursue within first 2 years in role
• Understanding of the industry, competitive landscape, and economic market issues
• Customer service orientation, with a demonstrated ability to professionally interact with clients, in a primarily virtual setting.
• The ideal candidate is a team player who is systematic in their approach to work and thrives in supportive environment.
• Bilingualism (French-English) is required
• Knowledge of French and English is required to support clients and Team members within and/ or outside the province of Quebec.

Please visit our career page by clicking on the following link:

We thank all applicants for their interest in IG Wealth Management; however, only those candidates selected for an interview will be contacted.

IG Wealth Management is an accessible employer committed to providing a barrier free recruitment experience. If you require an accommodation or this information in an alternate format at any stage of the recruitment process, please reach out to the Talent Acquisition team who will work with you to meet your needs.