Managed Accounts Supervisor

2 weeks ago

Oakville ON, Canada Nour Private Wealth Full time

NOUR PRIVATE WEALTH

 

JOB DESCRIPTION:

Managed Accounts Supervisor

 

OPPORTUNITY

To accommodate our continued growth and success, we are seeking the role of a full-time  Managed Accounts Supervisor  with previous experience at a CIRO dealer member (s). The position requires an experienced, detail-oriented individual with strong process and organizational skills and the ability to prioritize and follow the company's policies and procedures.

JOB DESCRIPTION

  • Perform daily trade and comprehensive quarterly reviews of client portfolios in accordance with Investment Policy Statements and the firm’s policies and procedures.
  • Review and approve advertisements, sales communications, and marketing activities as required.
  • Ensure supervision is performed and compliance procedures are met for anti-money laundering, privacy, and other related federal and provincial regulatory requirements.
  • Perform detailed, more comprehensive supervision of assigned Advisors as required.
  • Respond to supervisory and compliance-related questions from Advisors and branch office teams.
  • Proactively participate in the development of supervision and review systems for new managed account programs.
  • Participate in various compliance projects, as directed by the Chief Compliance Officer.
  • Conduct Tier 2 Supervision of completed Tier 1 supervision reviews.
  • Monitor for appropriate controls and other areas of potential risk and/or fraud.
  • Investigate and handle client formal complaints as required.

 

Job Requirements

  • Current Registration with CIRO as a Designated Supervisor of Managed Accounts,

AND/OR

  • Eligible to be registered with CIRO as a Designated Supervisor of Managed Accounts
  • Chartered Investment Manager Designation (CIM®) or Chartered Financial Analyst (CFA) preferred
  • Options Licensing preferred; Options Supervisors Course preferred
  • 3-4 years IIROC experience as a Compliance Officer in a branch or head office/corporate setting.
  • Familiarity with Fidelity Clearing Canada (FCC) back-office systems, procedures, and reports an asset.

Inclusiveness

At Nour Private Wealth, we are committed to fostering an inclusive, accessible environment where all employees and clients feel valued, respected, and supported. We are dedicated to building a workforce that reflects our clients' diversity and the communities we live and serve. If you require any accommodation for the recruitment/interview process (including alternate formats of materials, accessible meeting rooms, or other accommodations), please let us know, and we will work with you to meet your needs.

 

Job Field: Head Office

Primary Location: North America-Canada-Ontario-Oakville

Schedule: Full-time/Regular

Hours – Monday to Friday

Business Line - Compliance

Language - English (required), French (an asset)

Salary - will be commensurate with experience and marketplace. TBD

 

We thank all applicants; however, only those selected for an interview will be contacted.

 

Job Types: Full-time, Permanent

 

Inclusion and Equal Opportunity Employment

Nour Private Wealth is an equal opportunity employer committed to diversity and inclusion. We are pleased to consider all qualified applicants for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, protected veterans' status, Aboriginal/Native American status, or any other legally protected factors. Disability-related accommodations during the application process are available upon request.

We thank all applicants; however, only those selected for an interview will be contacted.

Joining us if you qualify will be the best career decision ever.

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