Executive Director Operations and Compliance
6 days ago
We are seeking an Executive Director Operations and Compliance to join our team at Worldsource Wealth Management.
About the RoleThe Senior Manager Administration is responsible for supporting the Vice President, Operations and the Interim Vice President, Operations in overseeing the integrated back office. The successful candidate will provide clear and concise communication to internal parties and support leadership in relation to operations, change management, risk management, and customer experience.
This role requires a highly motivated and energetic individual with 10+ years of similar experience within the investment industry. The ideal candidate will have a solid understanding of MFDA and/or IIROC Dealerships and demonstrated leadership skills and competencies.
Responsibilities- Supporting non-regulatory audits, such as corporate auditors, Trustee and RDBA;
- Assisting with regulatory audits (MFDA and IIROC), taking a lead role in gathering requirements and assisting in review and audit response;
- Reviewing weekly business communications;
- Reviewing and recommending operational changes in policies and procedures to increase efficiencies and tighten operational controls;
- Solving complex issues that are high impact to clients and working closely with managers and senior managers to ensure clear communication and handoff points to impacted departments and stakeholders;
- Leading escalations, focusing on building, reinforcing, and enhancing the business and relationships while ensuring appropriate controls are maintained;
- Building and fostering solid relationships and organizational alignment with business, sourcing, Legal, Compliance, Finance, and Wealth Services & Solutions;
- Supporting business implementation of products, services, and change management on strategic initiatives;
- Assisting with Desjardins-related transition items as required;
- Performing other duties as assigned.
- Post-secondary education;
- Successful completion of CSC and/or IFIC Mutual Funds Course;
- 10+ years of similar experience within the investment industry;
- Solid understanding of MFDA and/or IIROC Dealerships;
- Demonstrated leadership skills and competencies: process-oriented, accountability for results, client-focused, developing others, cross-organization collaboration;
- Knowledge of Corporate Actions, New Issues, Trading, Qualified Intermediary, RESPs (an asset);
- Advanced knowledge of Microsoft Outlook, Word, Excel, and PowerPoint;
- Ability to quickly adapt to change in a fast-paced environment, with a strong solutions-oriented approach;
- Bilingual (English/French) (an asset);
- Excellent interpersonal skills with internal and external stakeholders and ability to work independently as well as within a team environment;
- Strong time management skills with the ability to multi-task and maintain confidentiality.
Competitive salary ($120,000 - $150,000 per year, commensurate with experience)
Award-winning company culture with opportunities for professional growth and development
Casual and dynamic work environment
Opportunities to make a meaningful impact in the financial services industry
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