Senior Director

2 weeks ago

Mississauga ON, Canada Edward Jones Full time

Join a financial services firm where your contributions are valued. Edward Jones is a Fortune 500¹ company where people come first. With over 8 million clients and 19,000 financial advisors across the U.S. and Canada, we’re proud to be privately-owned, placing the focus on our clients rather than shareholder returns.

Behind everything we do is our purpose: We partner for positive impact to improve the lives of our clients and colleagues, and together, better our communities and society. We are an innovative, flexible, and inclusive organization that attracts, develops, and inspires performance excellence and a sense of belonging.

People are at the center of our partnership. Edward Jones associates are seen, heard, respected, and supported. This is what we believe makes us the best place to start or build your career.

View our Purpose, Inclusion and Citizenship Report .

1 Fortune 500, published June 2023, data as of December 2022. Compensation provided for using, not obtaining, the rating.

Join a dynamic team of Compliance professionals, whose primary responsibility is to support branch teams, ensuring their understanding of and adherence to regulatory requirements and expectations, as well as supervision of clients' managed accounts and branch team activities. We are seeking a Supervisor of Managed Accounts to join our Compliance and Field Supervision Department.

The Supervisor of Managed Accounts known internally at Edward Jones as a Senior CAP Field Supervision Director (Sr. CAP FSD) is registered with the Canadian Investment Regulatory Organization (CIRO) as a ‘Supervisor Responsible for the Supervision of Managed Accounts'. The primary objective of the Sr. CAP FSD is to protect the client, firm, financial advisor, and the industry, upholding high ethical standards. The Branch Supervisor must have in-depth knowledge of a broad range of product and services as well as firm and industry policies and regulations.

Responsibilities include:

Day-to-day supervision of managed accounts, including managed account approvals, approval of model switches, comprehensive reviews and non-resident and Regulatory Desktop account review items

Active participation in the development, and implementation of process improvements related to the managed account supervision program

Support an efficient and effective compliance program, helping ensure the firm and its associates continue to adhere to all regulatory requirements, industry rules, and internal policies and procedures

Provide timely guidance, address inquiries and conduct follow-up as needed with branch teams, making contact with clients as required

Identify potential issues/trends/patterns with client accounts, taking corrective action where necessary

Engage in ongoing communication with other Supervisors, Compliance, Branch Audit, Leaders and the Managed Accounts Committee

Support divisional and firm-wide initiatives, participating actively in the evolution of the firm's Compliance and

Field Supervision program and the Canadian Advisory Platform.

Provide leadership and guidance to other team members, ensuring a team orientated, collaborative environment

Current registration as a Supervisor Responsible for the Supervision of Managed Accounts with the Canadian Investment Regulatory Organization (CIRO)

3-5 years of compliance or supervisory experience with a CIRO dealer member, with a primary focus on Tier 1 Supervision activities

Bachelor’s degree preferred

Required Courses: Canadian Securities Course (CSC), the Conduct and Practices Handbook (CPH), Wealth Management Essentials (WME) Course and Investment Dealer Supervisors Course (IDSC)

Chartered Investment Manager Designation (CIM ) preferred

This position requires comprehensive knowledge of industry rules and regulations, as well as an ongoing understanding of industry issues, trends and “hot topics”

Strong communication skills, a competent public speaker, and be able to clearly articulate, communicate and customize messages and information to a wide audience.

Must have a demonstrated ability to deliver difficult and/or complex messages to financial advisors and branch teams with empathy and emotional intelligence, and in a professional manner .

At Edward Jones, w e are building a place where everyone feels like they belong. We're proud of our associates' contributions to the firm and the recognitions we have received.

Check out our U.S. awards and accolades: Insights & Information Blog Postings about Edward Jones

Check out our Canadian awards and accolades: Insights & Information Blog Postings about Edward Jones

Edward Jones does not discriminate on the basis of race, color, gender, religion, national origin, age, disability, sexual orientation, pregnancy, veteran status, genetic information or any other basis prohibited by applicable law.

At Edward Jones, we value and respect our associates and their contributions, and we recognize individual efforts through a rewards program that promotes a long-term career, financial security and well-being. Visit our career site to learn more about our total compensation approach, which in addition to base salary, typically includes benefits, bonuses and profit sharing. The salary range for this role is based on national data and actual pay is based on skills, experience, education, and other relevant factors for a potential new associate:

#J-18808-Ljbffr

  • Director/Senior Director, Quality Management

    1 week ago

    Toronto, ON, Canada TalentSphere Full time

    Senior Director, Asset Management Commercial REIT Commercial Office $Senior Director, Asset Management Duties & Responsibilities: Key Objectives: Maximize the value of the company's real estate assets through effective asset management strategies. Manage the portfolio of commercial properties to ensure optimal performance and profitability. Effectively...

  • Senior Director

    1 week ago

    Mississauga, Ontario, Canada CIMA+ Full time

    Company DescriptionWelcome to a place where people are at the heart of everything we do. Welcome to people with an inspiring vision and who seek stimulating challenges. At CIMA+, you'll find a place where you'll have many opportunities to learn and develop while working on engaging projects. We are a firm 100% owned by its employees and we value a...

  • Contract Interim Chief Operating Officer

    3 weeks ago

    Mississauga, Canada Peel Senior Link Full time

    Peel Senior Link, a non-profit charitable organization established in 1993, provides personal care & home-making and other complementary support services. Peel Senior Link maximizes independent living--helping seniors live with dignity, stability, and safety. Peel Senior Link is funded by the Ministry of Health and Long-Term Care through Ontario Health -...

  • Next Generations Director

    3 weeks ago

    Mississauga, ON, Canada City Centre Baptist Church Full time

    Method of Appointment: Recommended by the Senior Pastor, ratified by the Elders Accountability: The Next Generations Director reports to the Senior Associate Pastor for his daily leadership and overall ministry strategy. They are ultimately accountable to the Senior Pastor (and through the Senior Pastor to the Board of Elders). The Next Generations...

  • Senior Director Data Management

    2 weeks ago

    Toronto, ON, Canada Healthcare of Ontario Pension Plan Trust Fund Company Full time

    Senior Director, Government Relations page is loaded Senior Director, Government Relations Apply locations Toronto, Ontario, Canada time type Full time posted on Posted 6 Days Ago job requisition id JR101530 Why you’ll love working here: high-performance, people-focused culture our commitment that equity, diversity, and inclusion are fundamental to...

  • Senior Director

    4 weeks ago

    Mississauga, ON, Canada CIMA+ Full time

    Senior Director – Earth and Environment – Hybrid Full-time Featured Opportunity: No Sector Description: Earth and Environment Employee Type: Regular Welcome to a place where people are at the heart of everything we do. Welcome to people with an inspiring vision and who seek stimulating challenges. At CIMA+, you’ll find a place where you’ll have...

  • Senior Director, Corporate and Executive Communications

    3 weeks ago

    Kingston, ON, Canada Ongwanada Resource Centre Full time

    Full Time Senior Director – Administration Full Time Senior Director – Administration Reporting to the CEO, the Senior Director of Administration is a collaborative member of the Executive Leadership Team and the Senior Leadership Team and is accountable for providing leadership and operational direction consistent with Ongwanada’s strategic goals...

  • Operations Management Senior Director

    3 weeks ago

    Innisfil, ON, Canada Joe Johnson Equipment Inc. Full time

    Senior Director of Operations Office TYPE: Full-time The Senior Director of Operations will develop, implement, and analyze operational strategies that streamline processes and support the achievement of organizational goals. This will include managing budgets, optimizing resource allocation, coordinating with various levels of management, and...

  • Operations Management Senior Director

    3 weeks ago

    Innisfil, ON, Canada Joe Johnson Equipment Full time

    Senior Director of Operations Office TYPE: Full-time The Senior Director of Operations will develop, implement, and analyze operational strategies that streamline processes and support the achievement of organizational goals. This will include managing budgets, optimizing resource allocation, coordinating with various levels of...

  • Director (or Senior Director), Facilities

    4 weeks ago

    Toronto, ON, Canada Equinox Fitness Club Full time

    Senior Director, Public Relations Equinox Group is a high growth collective of the world's most influential, experiential, and differentiated lifestyle brands. We restlessly seek what is next for maximizing life - and boldly grow the lifestyle brands and experiences that define it. In addition to Equinox, our other brands, Blink, Pure Yoga, SoulCycle,...

  • Senior Global Development Scientist Director

    2 weeks ago

    Mississauga, ON, Canada AstraZeneca Full time

    Job Title: Senior Global Development Scientist Director Locations: In Office in one of these locations - Boston Seaport, Warsaw PO, Barcelona SP or Mississauga CA As a Senior Global Development Scientist Director (SGDSD) you will independently provide scientific and clinical input to all aspects of late stage product development. This includes but is...

  • Senior Director, Financial Reporting

    23 hours ago

    Mississauga, Canada Rubicon Path Full time

    About the job Senior Director, Financial Reporting (Contract Toronto)Our client, the BIG FOUR consulting firm, is hiring for the Senior Director Financial Reportingposition in Toronto. This is a contract position. The hourly compensation rate is negotiable. The end client is in the entertainment industry.The requirements:Experience with financial reporting,...

  • Senior Director Of Care

    3 weeks ago

    Cambridge, ON, Canada Southbridge Care Homes Full time

    Southbridge Care Homes owns and operates 26 Long-Term Care Homes and 9 Retirement Homes throughout many urban and rural areas of Ontario. Southbridge Care Homes is seeking a Senior Director Of Care to deliver support and expertise to our portfolio of LTC and Retirement homes across Ontario on a temporary basis. This will involve assignments that range...

  • Senior Director

    3 weeks ago

    Kitchener, ON, Canada CIMA+ Full time

    At CIMA+, you’ll find a place where you’ll have many opportunities to learn and develop while working on engaging projects. You will have the flexibility to manage your work on your own terms and define what work-life balance means to you. The Senior Director – Earth and Environment will develop and lead CIMA+’s environmental and...

  • Senior Director

    3 weeks ago

    Mississauga, ON, Canada CIMA+ Full time

    Full-time Sector Description: Earth and Environment Employee Type: Regular Company Description Welcome to a place where people are at the heart of everything we do. Welcome to people with an inspiring vision and who seek stimulating challenges. At CIMA+, you’ll find a place where you’ll have many opportunities to learn and develop while working on...

  • Senior Director of Operations

    3 weeks ago

    Vaughan, ON, Canada Joe Johnson Equipment Full time

    Senior Director of Operations LOCATION: The ideal candidate will reside within commuting distance to one of our Ontario branches. WORK ENVIRONMENT: Office TYPE: Full-time SUMMARY: The Senior Director of Operations will develop, implement, and analyze operational strategies that streamline processes and support the achievement of...

  • Senior Director/ Strategy Management

    2 weeks ago

    Toronto, ON, Canada Vha Home Healthcare Full time

    Description: We are currently seeking a Senior Director, Strategy Management Permanent Full-time What will be your role? The Senior Director, Strategy Management is a key position in our leadership team for Strategic Solutions & Partnerships (SS&P) department. This role is to provide leadership, strategic direction and oversight in the evolution of the...

  • Finance Manager

    7 days ago

    Brampton, ON, Canada Dearest Home Senior Care Full time

    Caregivers provide a variety of non-medical professional home care services that allow seniors to remain safely in their dearest homes. These services generally fall under five categories: Companionship Care – Engaging in conversation, planning a daily schedule, and caring companionship Home Duties Care – Meal Preparation, Housekeeping, Groceries...

  • Senior Director of Operations

    3 weeks ago

    Innisfil, ON, Canada Joe Johnson Equipment Inc. Full time

    Senior Director of Operations LOCATION: The ideal candidate will reside within commuting distance to one of our Ontario branches. WORK ENVIRONMENT: Office TYPE: Full-time SUMMARY: The Senior Director of Operations will develop, implement, and analyze operational strategies that streamline processes and support the achievement of organizational...

  • Senior Director

    4 weeks ago

    Mississauga, ON, Canada Cima+ Full time

    Company Description Welcome to a place where people are at the heart of everything we do. to people with an inspiring vision and who seek stimulating challenges. At CIMA+, you'll find a place where you'll have many opportunities to learn and develop while working on engaging projects. We are a firm 100% owned by its employees and we value...