Compliance/Tier1 Supervision-(Regional Branch Manager) Bilingual French
Responsibilities
Pre-trade Know Your Client (KYC) review.
Interact with clients (in a licensed capacity) to facilitate transactions when Approved Person (AP) is unavailable or it is not feasible for the client to work with the AP.
Tier-1 Trade Reviews - Post-trade reviews of transactions.
Provide support and act as an information resource for APs.
Learn and understand WFGS policies and procedures.
Provide support to APs and direct to other resources as appropriate.
Review and report as required any AP who may be subject to supervisory requirements, including initial Outside Business Activities (OBA) in keeping with WFG Securities, Inc. policies and procedures.
Visit branch locations responsible for supervising as required.
Qualifications
Two years of compliance experience with an MFDA registered dealer or related experience in the financial services industry
Bilingual; English/French (oral and written)
Experience conducting non-financial audits for firms registered in the securities industry
Knowledge of relevant industry practices, techniques and standards, concepts and principles
Completion of the Investment Funds of Canada Course (IFIC) or the Canadian Securities Course (CSC)
Completion of the Branch Manager’s Examination Course (BM) or the Branch Manager’s Course (BMC)
Completion of Life License Qualification Program (or obtain within 12 months of hire)
Life Insurance License (or obtain within 12 months of hire)
Ability to obtain Mutual Fund license as needed
Ability to prioritize multiple projects in a fast paced environment
Organizational skills and attention to detail
Communication and interpersonal skills
Results driven and customer focused
Preferred Qualifications
College diploma and/or university degree
Working Conditions
Hybrid environment: 2 days a week Tuesday/Wednesday in North York
Occasional travel for branch visits within Ontario and out of province
*Please note that the compensation information that follows is a good faith estimate for this position only and is provided pursuant to applicable pay transparency and compensation posting laws. It is estimated based on what a successful candidate might be paid in certain Company locations.**
The salary for this position generally ranges between $67,000 - $77,000 annually. This range is an estimate, based on potential qualifications and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law.
Additionally, this position is typically eligible for an Annual Bonus of 7.5% based on the Company Bonus Plan/Individual Performance and is at the Company’s discretion.
This job description is not a contract of employment nor for any specific job responsibilities. Managers may assign other duties and responsibilities as needed. In the event an employee or applicant requests or requires an accommodation in order to perform job functions, the applicable HR Business Partner should be contacted to evaluate the accommodation request.