Manager, Supervision

3 days ago

Toronto, Canada Wellington-Altus Private Wealth Inc. Full time

**Manager, Supervision**

**Location**: This position can be located in any of our corporate offices in Canada.

**Our organization**:
Founded in 2017, Wellington-Altus Financial Inc. (Wellington-Altus) is the parent company to Wellington-Altus Private Counsel Inc., Wellington-Altus USA Inc., Wellington-Altus Insurance Inc., Wellington-Altus Group Solutions Inc., Wellington-Altus Asset Management Inc., and Wellington-Altus Private Wealth Inc.—the top-rated* wealth advisory company in Canada and one of Canada’s Best Managed Companies. With more than $25 billion in assets under administration and offices across the country, Wellington-Altus identifies with successful, entrepreneurial advisors and portfolio managers and their high-net-worth clients.
- _Investment Executive 2023 Brokerage Report Card._

**The opportunity**:
Reporting to the Associate Vice-President, Supervision, the Manager, Supervision will be registered with the Canadian Investment Regulatory Organization (CIRO) and charged with the responsibility of supervising the activities of all registrants of the firm.

The Manager, Supervision will be responsible for implementing an efficient and effective program of advice, education, and supervision for WAPW to ensure the firm and its registrants continue to adhere to all regulatory requirements and internal policies and procedures.

**Key responsibilities include**:

- Conducting tier 1 supervision activities, including the review and approval of daily, monthly, and quarterly trade reports, account opening, and KYC updates.
- Raising knowledge level regarding regulatory compliance and supervision practices and processes.
- Fostering and maintaining strong, collaborative relationships with internal stakeholders and in doing so, promoting a strong culture of compliance.
- Assisting registrants of the firm in resolving compliance issues with respect to regulatory guideline interpretation and with inquiries relating to acceptance of unique or exceptional situations.
- Participating in internal compliance reviews and/or external regulator reviews conducted at Head Office or branches.
- Continually looking for ways to improve the efficiency and effectiveness of the firm’s system of compliance and supervision.
- Proactively maintaining knowledge of policy and procedure changes within the firm and industry.
- Identifying needs to amend or update policies, procedures and processes and coordinating with AVP and or VP for updates to PPM and/or training of corporate staff or registrants.
- Acting as a floater supervisor to assist in supervision when other Supervisors or Managers, Supervision are absent.
- Participating in other compliance and supervision-related projects and initiatives as assigned.
- Bachelor’s degree in business administration, finance, or similar field of study.
- Minimum of 5-10 years of progressive experience with a CIRO Dealer Member or bank, including 3 years in a compliance or supervisory role.
- Knowledge of the regulatory framework in Canada, proficiency with CIRO rules and regulations and provincial securities legislation.
- Current registration as a Supervisor with CIRO. Alternatively, successful completion of all proficiency requirements for a CIRO Supervisor, including Canadian Securities Course, Conduct and Practices Handbook, Branch Managers Course, Investment Dealers Supervisors Course.
- Current and maintained registration as IR/RR with CIRO is an asset.
- Completion of CIM designation is an asset.
- Successful completion of the Options Supervisors Course is an asset.
- Registration as a Managed Accounts Supervisor is an asset.
- Familiarly with National Bank Independent Network (NBIN) back-office systems, procedures and reports an asset.
- Strong organizational skills and attention to detail with the ability to prioritize effectively, handle multiple competing priorities and deadlines.
- Capacity to engage constructively and respectfully with individuals of diverse backgrounds and abilities to achieve high quality outcomes.
- Strong written and verbal communication skills, with the demonstrated ability to communicate effectively and tactfully.
- Proven analytical and problem-solving skills and demonstrated sound professional judgement.
- Reliable, consistent work ethic.
- Proficiency in Microsoft Office tools, including Word and Excel.

**Conditions of Employment**:

- Must be legally eligible to work in Canada.
- Current registration in the Supervisor category with CIRO.
- A background check, satisfactory to the employer, may be required of the successful applicant prior to commencing employment.

**To apply**:

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