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 risk management, compliance, and legal responsibilities.

Key Responsibilities:
  • Supervise retail investment account activity, including options, and ensure compliance with regulatory requirements and Firm policies.
  • Monitor and implement procedures to manage all facets of risk.
  • Facilitate regular and consistent communication of Firm policies and other regulations.
  • Oversee responsibilities outlined in policy and procedure manuals, as well as new policies to ensure the Firm has procedures in place.
  • Support the preparation for and response to audits, and ensure that any audit findings are appropriately responded to and remediated.
  • Work with Senior Management to monitor people risk, and ensure appropriate action is taken.
  • Responsible for proactive client contact in determining appropriateness, suitability, and risk management.
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.
  • Options Supervisory Proficiencies. DFC, OLC, OSC.
  • Knowledge of IIROC Rules.

This is a challenging and rewarding role that requires a high level of expertise and experience in wealth management, compliance, and risk management. If you are a motivated and detail-oriented individual with a passion for regulatory compliance, we encourage you to apply.

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