Stephanie Jones is a compliance branch manager with IG Wealth Management, an investment firm located in Victoria, British Columbia, that specializes in financial planning, with the highest number of CFP licensed professionals in Canada. With 17 years of experience in financial services and eight years of specialized expertise in compliance, streamlining processes to increase efficiency and production come as naturally to her as the ability to promote strong compliance cultures that align with corporate goals. She is responsible for monitoring and supervising all client activity through lower Vancouver Island. She also advises and enhances the businesses of financial advisors through education and supervision, and meeting their regulatory requirements.
Stephanie joined IG Wealth Management in 2018 with the mandate to align its consultants and financial advisors with the firm’s new vision to implement a compliance department that was regional as opposed to centralized. To accomplish the mission, she brought a cache of skills and knowledge gained from a diverse career spanning multiple arms of the finance industry, and a record of success with project management and platform changes, and used them to train and educate people, and to align them with the new vision. “My role was new for IGWM at the time. The company had just established it. I have an extensive background in systems implementation and aligning people across organizations, in addition to compliance, so it was a natural fit,” she shares.
Stephanie’s passion for finance has driven a diverse career than has spanned a variety of roles, which has given her an uncommonly broad—and valuable—set of skills and knowledge. She began her career in 2003 as a loan administration officer with Canadian Western Bank. Three years later, she joined Edward Jones, where for eight years she served as a financial advisor with her own book of business and managed branch portfolios up to $60 million. In her trade order services and client relations capacity, she built and trained a team of associates, created and established a new associate training program, and increased client satisfaction scores by 40 percent. She then assumed the position as compliance director—a role that spurred an expansive career that became global and included a variety of companies, such as foreign exchange, trust companies, and securities firms.
In 2013, she joined OANDA as compliance project and global governance manager, where she was responsible for a catalog of projects, including building global governance teams and working with global audits. Two years later, she moved to CST Trust Company. As the firm’s director of compliance and chief privacy officer, she managed and coordinated seven audits over four months and was responsible for process and procedure analysis and efficiency streamlining, before joining IG Wealth Management. She holds an MBA from Athabasca University and three financial designations: PFP, FMA, and FCSI, Fellow of Canadian Securities Institute.
Compliance and Branch Manager — IG Wealth Management
Victoria, BC V9A0E7
LinkedIn: Stephanie Jones