Manager, Branch Compliance
7 days ago
You're knowledgeable in Wealth Compliance with policies and regulation.
You're a communicator – strong communication skills both verbally and in writing.
You're self-motivated - able to work independently and as a team.
You want to join a growing company
If you are nodding yes, this Branch Manager Compliance role in our Wealth Management department at Cowan Insurance Group may be perfect for you
What's the ask?
Reporting to the Director of the Wealth Management department, the Branch Compliance Manager is responsible for providing supervisory functions to investment advisors and client service associates (licensed and non licensed). The successful candidate must be highly detailed, organized, and accurate and can work under pressure and meet deadlines. In addition, the candidate must work without supervision, exercise initiative, and use independent judgment in the performance of assigned tasks.
Key Responsibilities:
Handling Know Your Client Update Reviews for suitability and sign off.Managing Limited Authorization Forms and New Plan Application Approvals. Handling Trade Reviews for the investment advisorsLeading, training and coaching of various team members. Performing on-site reviews of all registered branches, quarterly.Attending relevant compliance meetings, as required.Various reporting and special projects, specific to our investment businessUphold the standards outlined in Compliance policies and procedures manual and applicable industry regulations.Conduct reviews of approved person activities and ensure the suitability of investments and other compliance practices. New account approvals and account updates.Conducting close supervision of new registrants.Supporting Advisors and client associates with compliance inquiries.Providing ongoing compliance education and training for registered personnel.Consistent communication with advisors and or regulatory bodies regarding the resolution of non-compliance practices. Work on special projects as assigned.What does it take?
Successful completion of the Canadian Securities Course (CSC) or Investment Funds Course (CFIC) and Branch Manager's Course (BMC) Minimum 5 years related industry experienceCompletion or Willing to complete ETF Course and Liquid Alternative CourseAbility to be immediately registered with the RegulatorsPost-secondary education Ability to multi-task in a fast-paced environment. Organized, accurate and detailedExcellent oral and written communication skillsExcellent working knowledge of Microsoft Word and ExcelAbility to work independently and use independent judgment.Who we are
Canadian-owned and operated, Cowan Insurance Group is a leading independent insurance brokerage and consulting operation, providing real value to our clients. With over 500 employees hired out of 6 locations across Canada, we're proud to have been named one of Canada's Best Managed Companies since 2012.
We partner with leading national and international insurance companies to:
deliver insurance and risk management solutions to businesses, organizations and individuals. advise on and create retirement, group benefits, disability management and international benefits programs for employee groups.We also offer wealth and asset management as well as financial and succession planning services to individuals, and specialize in property, casualty and credit insurance.
What sets us apart?
Be in good company
Integrity matters. It drives our award-winning workplace culture and fuels our collective desire to help our clients, employees, and communities thrive.
Challenge your thinking
You're valued for your passion, drive and creativity. The pace is fast, but the work is meaningful, interesting, and complex, just the way you like it.
Grow together
We believe in your potential. If you're looking to develop your expertise with learning opportunities and mentoring, we'll make that happen.
Benefits and perks
Competitive salary Participate in our comprehensive benefits plan on day one — no waiting period. Company-matched Retirement Savings Plan Company-paid training and development courses Community involvement Hybrid work environmentAre you interested?
Please apply
This position is subject to appropriate background checks that may include credential, employment, credit, criminal and reference checks.
While we appreciate the interest of all applicants, we will contact only those selected for interviews. If you are an applicant with disabilities and require accommodation, please let us know at the time of our contact so that we may arrange for their provision.
We are an Equal Opportunity Employer. Employee candidates will be selected strictly on the basis of an individual's technical qualifications, knowledge and experience, as they relate to the requirements of a particular position. Selections will be made without regard to: race, ancestry, place of origin, colour, ethnic origin, citizenship, creed (religion), sex, sexual orientation, handicaps (physical or mental), age, marital status, family status, or the receipt of public assistance or record of offences.
#LI-HYBRID
-
Branch Manager
1 week ago
Cambridge, Ontario, Canada Georgian Bay Fire and Safety Ltd. Full timeJOB DESCRIPTION - BRANCH MANAGER - CAMBRIDGEGeorgian Bay Fire & Safety Ltd., a Fire Safety and Protection, LLC company is one of Ontario's largest independent providers of Life Safety and Property Protection, is seeking a Branch Manager - Fire & Safety Solutions for our Cambridge branch. In business since 1969, we are a well-respected, capable organization...
-
Branch Manager
1 week ago
Cambridge, Ontario, Canada Noble Corporation Full timeJob Overview and What We Offer You Start a rewarding career at our Cambridge Branch as a Branch Manager At Noble, we help our customers' businesses succeed by investing in our most important asset: our teammates What We Offer You: Internal growth opportunities Access to training and development programs Uncapped earning potential Comprehensive benefits...
-
Compliance and Microbiology Manager
1 week ago
Cambridge, Ontario, Canada Bimeda Full timeBimeda is a leading global innovator, manufacturer and marketer of veterinary pharmaceuticals and animal health products and has over half a century's experience in providing science-driven solutions to optimize the health, wellbeing and productivity of the world's animals. Bimeda's nine manufacturing facilities across seven countries allow the company to...
-
Inventory Management
1 week ago
Cambridge, Ontario, Canada Prosol inc Full timeInventory ManagerOverall, Purpose of the Role:Purchase goods, and materials to ensure that the company's operational needs are met, taking into account price, quality and delivery to ensure continuity of supply.Monitoring Inventory on hand and stocking programs to ensure most in-demand products are on hand at all times and non-moving stock is reduced...
-
Manager Information and Evidence Management
1 week ago
Cambridge, Ontario, Canada Waterloo Regional Police Service Full timeWith more than 1000 sworn and civilian members, the Waterloo Regional Police Service (WRPS) requires a Manager, Information and Evidence Management. The WRPS delivers exceptional police services to more than 575,000 residents. The Waterloo Region is a vital and prosperous community in Southern Ontario that offers the unique combination of a growing urban...
-
Director of Privacy and Compliance
1 week ago
Cambridge, Ontario, Canada Express Employment Professionals Full timeShare Top Job Located in Cambridge, ON The Director of Privacy & Compliance is responsible for driving privacy compliance and strategic priorities related to Personally Identifiable Information (PII) in alignment with our Client's Global Privacy framework. This role will develop privacy policies and processes in cooperation with leadership, IT, and...
-
Cambridge, Ontario, Canada Express Employment Professionals Full timeThe Director of Privacy & Compliance is responsible for driving privacy compliance and strategic priorities related to Personally Identifiable Information (PII) in alignment with our Client's Global Privacy framework. This role will develop privacy policies and processes in cooperation with leadership, IT, and operations, manage the NAPBS Accreditation...
-
Branch Manger: Construction Supply
1 week ago
Cambridge, Ontario, Canada Brafasco - White Cap Supply Canada Full timeA position at White Cap isn't your ordinary job. You'll work in an exciting and diverse environment, meet interesting people, and have a variety of career opportunities.The White Cap family is committed to Building Trust on Every Job. We do this by being deeply knowledgeable, fully capable, and always dependable, and our associates are the driving force...
-
Cambridge, Ontario, Canada Carter's Full timeTransportation and Customs Compliance AnalystServing the needs of all families with young children,Carter's Inc. is the largest North American apparel retailer exclusively for babies and young children, encompassing Carter's, OshKosh B'gosh, Skip*Hop and Little Planet brands. Meaningful work, constant learning, genuine people, and a community guided by core...
-
Quality Assurance Compliance Specialist
1 week ago
Cambridge, Ontario, Canada Septodont Full timeGeneral information:Reference :Position description:Job Title:Quality Assurance Compliance Specialist (Quality Systems)Company Details:Septodont is a leading manufacturer of dental pharmaceuticals and medical devices. The French-based company employs over 2,000+ people globally. We have six manufacturing plants in France, India, North and South America, and...
-
Manager, Facilities
7 days ago
Cambridge, Ontario, Canada Reliance Home Comfort Full timeManager, Facilities (Contract)Overview:This role will actively partner with Reliance branches to understand local space, warehouse, and inventory requirements and will lead a real estate strategy that aligns with Reliance's overall growth strategy as well as local needs.Responsibilities: Build out a real estate strategy that supports Reliance's overall...
-
Cambridge, Ontario, Canada Parrish & Heimbecker, Limited Full timeNational Transportation Compliance SupervisorP&H Milling GroupCambridge, OntarioJoin our team that shares your Passion & Heart for Canadian agriculture Parrish & Heimbecker, Limited (P&H) has an opportunity for a motivated, forward-thinking, and dedicated individual as a National Transportation Compliance Supervisor, starting each day at our head office...
-
Quality Assurance Compliance Specialist
7 days ago
Cambridge, Ontario, Canada Septodont Full timeGeneral information:Reference :Position description:Job Title:Quality Assurance Compliance Specialist (Suppliers)Company Details:Septodont is a leading manufacturer of dental pharmaceuticals and medical devices. The French-based company employs over 2,000+ people globally. We have six manufacturing plants in France, India, North and South America, and an...
-
Manager, Client Advice I
3 weeks ago
Cambridge, Ontario, Canada CIBC Full timeWe're building a relationship-oriented bank for the modern world. We need talented, passionate professionals who are dedicated to doing what's right for our clients.At CIBC, we embrace your strengths and your ambitions, so you are empowered at work. Our team members have what they need to make a meaningful impact and are truly valued for who they are and...
-
Manager, Client Advice I
3 weeks ago
Cambridge, Ontario, Canada CIBC Full timeWe're building a relationship-oriented bank for the modern world. We need talented, passionate professionals who are dedicated to doing what's right for our clients.At CIBC, we embrace your strengths and your ambitions, so you are empowered at work. Our team members have what they need to make a meaningful impact and are truly valued for who they are and...
-
Plant Manager
1 week ago
Cambridge, Ontario, Canada Russel Metals Full timeReasons to Join Our Team Competitive base salary Profitsharing plan Benefits program Pension plan Development and Growth Opportunities Various incentive and recognition programs BonusesPLANT MANAGER:As a strong leader and people manager, effectively manage an operation that includes warehousing, processing and Shipping. The emphasis is on providing quality...
-
Regulatory Support Specialist
1 week ago
Cambridge, Ontario, Canada Reliance Home Comfort Full timeLEARN, DEVELOP AND GROW - WITH RELIANCEBy joining Reliance as a Regulatory Support Specialist, you become part of an organization that is committed to delivering exceptional experiences for our customers and will support you to be your best.What will you do? Onboard potential contractors through coordination with local branch operation managers Conduct...
-
EHSS Manager
1 week ago
Cambridge, Ontario, Canada Dana Full timeDana is a global leader in the supply of highly engineered driveline, sealing, and thermal-management technologies that improve the efficiency and performance of vehicles with both conventional and alternative-energy powertrains. Serving three primary markets – passenger vehicle, commercial truck, and off-highway equipment – Dana provides the world's...
-
Ehss Manager
7 days ago
Cambridge, Ontario, Canada Dana Incorporated Full timeDana is a global leader in the supply of highly engineered driveline, sealing, and thermal-management technologies that improve the efficiency and performance of vehicles with both conventional and alternative-energy powertrains. Serving three primary markets - passenger vehicle, commercial truck, and off-highway equipment - Dana provides the world's...
-
Business Development Manager
1 week ago
Cambridge, Ontario, Canada GardaWorld Full timeBusiness Development Manager - Southwest Ontario:Reports to:Director Business Development - Central Region**The Purpose of PositionThe purpose of this position is to develop new business relationships, service existing customers and grow overall revenue and profitability in a specified vertical. The primary goal of the Business Development Manager is to win...
