Heui Jung Lee, Cfp
About Heui Jung Lee, Cfp
Heui Jung Lee is a Senior Compliance Specialist at IG Wealth Management in Winnipeg, Canada, where he has worked since 2018. He holds a Bachelor of Commerce with Honours in Finance from the University of Manitoba, which he completed from 2006 to 2010.
Work at IG Wealth Management
Heui Jung Lee serves as a Senior Compliance Specialist at IG Wealth Management, a position held since 2018. Located in the Winnipeg, Canada Area, Lee is responsible for executing compliance investigation programs, which include branch reviews and complaint investigations. Lee manages client complaint resolution processes and conducts branch examination programs to ensure adherence to regulatory standards. Additionally, Lee collaborates closely with Distribution Leadership to develop corporate policies and promote good business practices within the organization.
Education and Expertise
Heui Jung Lee studied at the University of Manitoba, where Lee earned a Bachelor of Commerce with Honours (B. Comm Hons) in Finance from 2006 to 2010. This educational background provides a strong foundation in financial principles and compliance regulations, contributing to Lee's expertise in the field of compliance within the financial services industry.
Background
Heui Jung Lee has built a career in compliance within the financial sector, focusing on ensuring adherence to regulatory requirements. Since joining IG Wealth Management in 2018, Lee has developed a comprehensive understanding of compliance investigation programs and client complaint resolution. Lee's role involves communicating recommendations to affected parties and following up to ensure that corrective actions are implemented effectively.
Achievements
In the role of Senior Compliance Specialist, Heui Jung Lee has been instrumental in ensuring compliance with the rules and policies of self-regulatory organizations, including the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association (MFDA). Lee's efforts in managing compliance investigations and promoting good business practices contribute to the overall integrity and operational effectiveness of IG Wealth Management.