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 providing coaching and guidance to financial advisors.

Key Responsibilities:
  • Supervise retail investment account activity, including options, and facilitate any supervisory inquiry or process that requires escalation.
  • Focus on business ethics, regulatory, and compliance practices to maintain a controlled environment.
  • 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.
Qualifications:
  • Bachelor's degree or equivalent education or experience.
  • Minimum 2 years supervisory experience with a IIROC regulated dealer.
  • CSC, CPH, 90-day training program, and experience requirements as outlined by IIROC.
  • Options supervisory proficiencies, DFC, OLC, OSC.
  • Knowledge of IIROC rules.

This is a unique opportunity to join a dynamic team and contribute to the success of our wealth management business. If you are a motivated and experienced professional looking for a new challenge, please submit your application.

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