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Centralized Branch Compliance Manager

2 weeks ago

Vancouver, Canada Vancouver City Savings Credit Union Full time

As a **Centralized Branch Compliance Manager**, your primary focus is to perform supervisory activities consistent with regulatory requirements and established service and quality standards.**_ This role will have a primary focus on the MFDA platform._**

**_ _**A typical day would involve**:

- Monitor the sales conduct of registered IIROC and/or MFDA staff and regulatory and compliance systems in order to minimize risk.
- Respond to and resolve complaints consistent with the regulatory requirements and provide advice to enable complaint resolution where appropriate.
- Monitor operations for privacy and fraud issues, make recommendations and implement solutions that optimize compliance and risk management.
- Perform audits and compliance reviews of licensed mutual funds staff consistent with regulatory requirements.
- Monitor IIROC and MFDA internal policies and procedures and review according to business needs and/or regulatory changes.
- Perform review and approval for IIROC and MFDA branch level sales communications.
- Deliver training, advice and technical expertise on regulatory requirements to registered staff and other internal parties.

**You are**:

- **A problem solver -** You have an analytical mind and can check documents for accuracy and completion.
- **A strong communicator -** You find it easy to get to know others and have great conversations and can act as a resource by providing specialized advice, technical guidance, explanations, and related support.
- **Organized & Systematic** - your planning and coordination skills develop solid operating plans, processes, methods and standards for a unit and help coordinate delivery of critical information in a timely manner.
- **Knowledgeable -** you understand the concepts, practices and techniques in Sustainable Wealth Management, and can meet established regulatory requirements and established guidelines
- **A fast learner -** You are eager for new information; you learn quickly and have the ability to put new knowledge to use

**You have**:

- Post Secondary Education/Diploma (Related Discipline)
- Advanced - Business acumen in the context of the financial industry.
- Solid - Communication and interpersonal skills to create clear understanding of expectations; address escalated challenges and issues in reporting areas; and to represent the functional area across the organization.
- Solid - Knowledge of the relevant Vancity policies and procedures.
- Solid - Knowledge of to provide technical guidance to junior staff.
- Solid - Knowledge of Vancity strategies, functions and programs.
- Solid - Planning and coordination skills to develop operating plans, processes, methods and standards for a unit and to coordinate delivery of programs and services.
- Solid - Problem solving and decision-making skills to diagnose challenges and issues; develop innovative business solutions; and to assess risks and opportunities that may affect the unit and/ or designated unit.

**Bonus points, if you have**:

- Previous experience in Wealth Management
- IIROC registration

**The team**:In this role, you will report into Senior Manager, MECE Compliance.

**Salary Range**:71,500.00 to 107,300.00

**We offer**:

- We are the largest private-sector Living Wage Employer in Canada and have been consistently recognized as one of the Top Employers in Canada
- Our permanent employees qualify for attractive benefit packages that can be customized and changed each year to meet their evolving needs
- New employees receive between three and four weeks of vacation allowance per calendar year, and the number of vacation days grows — to a maximum of six weeks per year — as their length of service increases. In addition, full-time, permanent staff can purchase up to six extra days of vacation through our flexible benefits package.
- In addition to the 10 statutory holidays in British Columbia, Vancity provides an additional three statutory holidays. We offer care days for periods of short-term personal illness or emergency family illness, plus opportunities to take unpaid leave for a variety of reasons.
- We understand that retirement means different things to different people and at Vancity we offer retirement programs to meet diverse needs

At Vancity we’re committed to creating a welcoming and inclusive workplace to help our people and communities thrive and prosper. **Diversity **in our workforce is integral so that we can truly represent, understand and respond to our community needs and deliver on our member experience.

**Experience**: Required
- 2 year(s): Must have prior experience as an MFDA or IIROC Branch Compliance Manager and be immediately registerable.

**Behaviors**: Required
- Team Player: Works well as a member of a group
- Detail Oriented: Capable of carrying out a given task with all details necessary to get the task done well

**Motivations**: Required
- Self-Starter: Inspired to perform without outside help