OCHOCHE JIM IMONDE
Winnipeg
Summary
Dynamic marketing compliance manager with a proven track record at IG Wealth Management, specializing in policy development, risk mitigation, and regulatory compliance. My expertise in developing and implementing compliance dashboards, has significantly enhanced audit efficiency and streamlined approval processes.
Adept at fostering cross-functional collaboration, I work closely with internal teams like Legal and Privacy, as well as external vendors, to develop and refine compliance policies and deploy innovative applications.
In my previous roles as Senior Compliance Specialist and Senior Client Service Representative, I demonstrated strong skills and knowledge in trade reviews, trend analysis, CRA policies, investment vehicles, safeguarding client interests and ensuring regulatory compliance. I have successfully led training and onboarding programs, enhancing team efficiency and integration.
With a keen eye for detail and a commitment to excellence, I am dedicated to enhancing compliance, mitigating risks, and driving significant improvements in regulatory relationships.
Overview
7
7
years of professional experience
1
1
Certification
Work History
Manager, Marketing Compliance
IG Wealth Management
05.2024 - Current
- Ensured compliance: Oversaw the adherence of all marketing materials, sales communications, and content (e.g., ads, social media, client letters) to relevant laws, CIRO regulations, and internal policies.
- Policy development: Created, implemented, and updated internal marketing compliance policies and guidelines, ensuring alignment with current CIRO policies and best practices. I also assisted in the development of risk comfort levels within the team
- Compliance dashboards: Developed and implemented tools like the Compliance Intake and Approval system facilitating audit requests and documentation and improving approval efficiency
- Advisor support: Assisted advisors in developing marketing strategies, including social media campaigns, webinars, and advertisements, to enhance engagement and client acquisition.
- Cross-functional collaboration: Worked with internal teams (Legal, Privacy) to refine marketing policies and mitigate risks, and partnered with external vendors to test and deploy marketing applications and align with industry standards.
Senior Regulatory Compliance Specialist
IG Wealth Management
07.2022 - 05.2024
- Championed continuous improvement initiatives within the compliance function, driving innovation in process optimization and risk mitigation techniques.
- Developed strong relationships with key regulators, facilitating open communication channels and fostering a collaborative approach to regulatory matters.
- Streamlined audit processes for improved efficiency, resulting in reduced compliance risks across the organization.
- Analyzed complex data sets to identify trends in regulatory violations, informing targeted improvements in policy development and enforcement strategies.
- Designed and delivered customized training programs to address specific knowledge gaps among staff members, promoting a culture of compliance across the organization.
Senior Client Service Representative
IG Wealth Management
04.2021 - 07.2023
- Led training sessions for junior representatives, strengthening their skills in customer relations and product knowledge.
- Collaborated with team members to enhance overall service quality, sharing knowledge and best practices.
- Delivered consistent results under pressure by prioritizing tasks based on urgency and importance effectively managing workload.
- Cultivated strong relationships with clients through regular communication and attentive listening.
- Maintained detailed records of client interactions, allowing for personalized follow-ups and targeted communications.
- Conducted thorough research to provide accurate answers to complex inquiries, demonstrating expertise in company offerings.
Market Analyst (Intern)
Seaview Oil and Gas
06.2018 - 09.2018
- Market Research: Conducted comprehensive market research, analyzing industry data and client responses to pricing and services, and presented findings to inform strategic decisions.
- Program Evaluation: Measured the effectiveness of in-house marketing programs, utilizing data insights to refine and optimize marketing strategies.
- Competitive Analysis: Analyzed competitor pricing and service offerings, providing actionable recommendations to meet client expectations while maximizing profitability.
- Survey Design and Implementation: Assisted in designing and implementing survey techniques, efficiently collecting and analyzing information to support market research initiatives.
Education
Bachelor of Arts - Economics
University of Manitoba
Winnipeg, MB12-2020
Skills
- Policy development
- Risk assessment and mitigation
- Efficient communication
- Complex problem-solving
- Decision-making
- Cross-functional ollaboration
Languages
English
Native or Bilingual
Certification
- IDSC - Investment Dealer Supervisors Course
- CSC - Canadian Securities Course
- IFIC - Investment Funds in Canada
Timeline
Manager, Marketing Compliance
IG Wealth Management
05.2024 - Current
Senior Regulatory Compliance Specialist
IG Wealth Management
07.2022 - 05.2024
Senior Client Service Representative
IG Wealth Management
04.2021 - 07.2023
Market Analyst (Intern)
Seaview Oil and Gas
06.2018 - 09.2018
Bachelor of Arts - Economics
University of Manitoba
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