Wealth Management Supervisor

1 month ago

Calgary, Alberta, Canada Blue Chip Recruiting Ltd. Full time
Job Title: Canada Wealth Management Supervisor

Blue Chip Recruiting Ltd. is seeking a highly skilled and experienced Canada Wealth Management Supervisor to join our team.

Job Summary:

The Canada Wealth Management Supervisor will be responsible for supervising retail investment account activity, ensuring compliance with regulatory requirements and Firm policies. This role will also involve providing coaching and guidance to Financial Advisors on policies and procedures, as well as monitoring and implementing procedures to manage all facets of risk.

Key Responsibilities:
  • Surveillance and Supervision:
    • Responsible for the supervision of retail investment account activity, including options, conducted in order execution only and full service accounts.
    • Facilitates any supervisory inquiry or process that requires escalation.
  • Risk Management/Compliance/Legal:
    • Monitors and implements procedures to manage all facets of risk.
    • Facilitates regular and consistent communication of Firm policies and other regulations.
    • Together with Senior Management, ensures appropriate supervisory coverage is maintained at all times.
  • Qualifications:
    • Bachelor's degree required or equivalent education or experience.
    • Minimum 2 years Supervisory experience with a IIROC regulated dealer required.
    • CSC, CPH, 90-day training programme and experience requirements as outlined by IIROC.
Requirements:

The ideal candidate will have a strong background in compliance and risk management, with experience in supervising retail investment account activity. They will also have excellent communication and coaching skills, with the ability to work effectively with Financial Advisors and Senior Management.

Blue Chip Recruiting Ltd. is an equal opportunities employer and welcomes applications from diverse candidates. We offer a competitive salary and benefits package, as well as opportunities for professional growth and development.

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