Canada 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. As a key member of our wealth management team, you will be responsible for overseeing the supervision of retail investment account activity, ensuring compliance with regulatory requirements, and managing risk.

Key Responsibilities:
  • Supervise retail investment account activity, including options, and ensure compliance with regulatory requirements.
  • Facilitate supervisory inquiries and processes that require escalation.
  • Provide coaching and guidance to financial advisors on policies and procedures to promote risk awareness and a compliant environment.
  • Ensure proper procedures are in place to handle approvals and ensure timely completion.
Risk Management and Compliance:
  • Monitor and implement procedures to manage all facets of risk.
  • Facilitate regular and consistent communication of firm policies and regulations.
  • Work with senior management to ensure appropriate supervisory coverage is maintained at all times.
  • 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 to determine 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 program, and experience requirements as outlined by IIROC.
  • Options supervisory proficiencies, DFC, OLC, OSC.
  • Knowledge of IIROC rules.

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