Manager, Compliance Supervision

1 week ago

Burlington, Canada Harbourfront Wealth Management Inc. Full time

**Who we are**:
Harbourfront Wealth Management Inc. is a dynamic industry leader specializing in financial services and wealth management. We are a fast-growing employee-owned firm and IIROC registered securities dealer. The firm provides financial services and holistic wealth management solutions for mid to high-net-worth individuals. At Harbourfront Wealth Management Inc., our core values start with the belief that **great people make great companies. ** Our head office is in downtown Vancouver with over 20 branches across Canada.

**Career opportunity**:
**You will be responsible for**:

- New account approvals and account updates;
- Tier 1 supervision activities of non-managed and managed accounts;
- Conducting daily and monthly trading review;
- Conducting quarterly reviews of managed accounts;
- Reviewing, approving and supervising outside activities;
- Oversight of the 30 and 90 day training program of new registrants;
- Conducting close supervision of new registrants;
- Participating in internal branch audits as well as external regulatory audits;
- Supporting Investment Advisors and Portfolio Manager with compliance inquiries;
- Providing ongoing compliance education and training for registered personnel; and
- Special projects as assigned.
- 5+ years experience in a compliance department with at least 3 years as a Tier 1 Supervisor for a CIRO Dealer Member (previously IIROC Dealer Member);
- Post secondary education;
- Must qualify to be immediately registered as a designated supervisor of managed accounts with CIRO;
- Will be required to continue to meet IIROC continuing education requirements;
- In-depth knowledge of the financial services industry including understanding of regulatory requirements of CIRO and the CSA;
- Strong oral and written communication skills and must be able to effectively communicate with different levels of staff including advisors and senior leadership;
- Must be an effective listener and have a collaborative team-work approach with the ability to prioritize, performing multiple tasks meeting deadlines;
- Strong analytical skills; and
**Definite Assets**:

- Knowledge of National Bank office processes and tools; and

**Diversity and Inclusion**

Diversity is an important value to us. We are committed to providing equal opportunities in employment and to providing a workplace which is free from discrimination and harassment. This means that all job applicants and employees will receive equal treatment regardless of race, colour, ethnic or national origins, sex, marital status, disability, age, sexual orientation, religion, or belief.

**Job Types**: Full-time, Permanent

**Benefits**:

- Extended health care
- Life insurance
- RRSP match
- Vision care
- Work from home

Flexible Language Requirement:

- French not required

Schedule:

- Monday to Friday

Work Location: Hybrid remote in Burlington, ON L7L 5Y7

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