Regional Branch Manager (Compliance/Tier1 Supervision) - Hybrid Work Environment
Full Time
Compliance
Perform branch supervisory functions in accordance with regulatory and company requirements. Supervise the activities of Approved Persons engaged in selling mutual funds and life insurance products.
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
- 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
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.