Branch Manager/compliance Officer

3 days ago

Burlington, Canada Aligned Capital Partners Inc. Full time

Aligned Capital Partners Inc. (ACPI) is a fast-growing investment dealer with a dynamic team looking to expand our business exponentially. Our corporate culture encourages teamwork, service excellence, creativity, and initiative. We are currently hiring for a **full-time Branch Manager/Compliance Officer (Regulatory Supervisor)** to join our **Business Integrity** compliance team in **Burlington**.

**Position Overview**

**What You Will Do**
- Overall supervisory responsibility for an assigned group of ACPI registered individuals and business locations under their supervision
- Monitor registered individuals during the initial 90-Day Training Program, the 6-month supervision period and during any periods of ‘close supervision’ as determined by ACPI Senior Management
- Review and approve Managed account Openings and KYC updates
- Complete and provide evidence of and follow up on any deficiencies noted in the daily and monthly trade and account reviews, with such reviews performed in accordance with securities regulatory requirements
- Escalate any significant client service issues, including allegations of wrongdoing and any verbal or written complaints to ACPI Senior Management
- Review and provide pre-approval for all Sales Communications for Advisors under supervision
- Work collaboratively with ACPI’s Client Experience team to provide guidance to Advisors under supervision on ACPI’s compliance policies
- Provide regular support to Advisors, respond to ad hoc Advisor requests with value-added information, ideas and solutions

**You Will Bring**
- Post-secondary degree/education - Finance or Business is preferred
- Relevant securities industry experience, with minimum 2 years’ experience as a Branch Manager or Compliance Officer with an IIROC or MFDA dealer firm
- Completion of other applicable securities industry courses offered by the Canadian Securities Institute: Canadian Securities Course, Conduct and Practices Handbook Course and Branch Managers Course/IDSC
- Critical thinking and sound judgement
- Demonstrated knowledge and understanding of the relevant securities legislation and SRO rules and regulations.
- Familiarity and experience working with common securities transaction processing systems
- Ability to work independently and manage time effectively
- Strong conflict resolution, organizational and communication skills
- Managed account supervision experience is highly preferred
- Qualification of IDSC with CIM Designation (or close) will be most preferred
- Experience with a securities commission or self-regulatory organization would be an asset

**What We Bring**

We are committed to a positive employee experience fostered through an open and collaborative work environment. We offer you:

- Competitive compensation
- Recognition of your accomplishments
- Communication and feedback
- Investment in your training and development
- Commitment to your health and well-being

Aligned Capital Partners Inc. is an equal opportunity employer. Please contact us at 905-639-5115 and ask for Human Resources if you require any accommodation in order to fully participate in our recruitment process.

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