Corporate Branch Manager

2 weeks ago

Ontario, Canada Worldsource Wealth Management Full time

JOB STATEMENT: The Corporate Branch Manager is a key member of the Compliance Department within Worldsource Wealth Management Inc. ("WWM"), and is responsible for providing supervisory functions to producing branch managers and advisors. The successful candidate must be highly detailed, organized and have the skills to work under pressure and meet deadlines. In addition, the candidate must work without supervision, exercise initiative and use independent judgment in the performance of assigned tasks. RESPONSIBILITIES: Conducting Tier 1 supervision activities including review of daily trading, account opening and KYC updates; Providing guidance and support to Assistants, Advisors and Producing Branch Managers in resolving compliance issues; Serving as the primary point of contact for all compliance inquiries from the assigned branches; Conducting on-site visits of assigned branches to ensure compliance standards are maintained; Delivering training to new Branch Managers/Supervisors, Advisors and Assistants, as required; Other duties, as assigned, including contributing to compliance initiatives as required QUALIFICATIONS: Minimum 5 years compliance experience working for a CIRO member firm, ICPM, or a fund company Must qualify to be immediately registered as a Supervisor of Registered Representatives and Investment Representatives Proficiency in the French language is an asset Proficiency in options trading supervision and managed account supervision is an asset Experience with platforms such as Dataphile, Portfolio Aid and MAKO is an asset COMPENSATION: Commensurate with experience If you are interested in applying for this position, please forward a cover letter and resume in confidence to careers@worldsourcewealth.com. Worldsource is committed to accessibility in employment and to ensuring equal access to employment opportunities for candidates, including persons with disabilities. In compliance with AODA, Worldsource will endeavour to provide reasonable accommodation to persons with disabilities in the recruitment process upon request. If you are selected for an interview and you require accommodation due to disability during the recruitment process, please notify the hiring manager upon scheduling your interview. We thank all applicants for their interest but only those selected for an interview will be contacted.

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