Supervisor, Wealth Management
4 weeks ago
DUTIES and RESPONSIBILITIES:
Surveillance and Supervision
• Responsible for the supervision of retail investment account activity, including options, conducted in order execution only and full service accounts .Facilitates any supervisory inquiry or process that requires escalation.
• Focuses on business ethics, regulatory and compliance practices
• Provides coaching and guidance to Financial Advisors on policies and procedures in order to promote risk awareness and a compliant environment
• Ensure proper procedures are in place to ensure that approvals are handled appropriately and timely
Risk Management/Compliance/Legal
• Monitors and implements procedures to manage all facets of risk
• Facilitates regular and consistent communication of Firm policies and other regulations
• Together with Senior Management, ensures appropriate supervisory coverage is maintained at all times
• Oversees responsibilities outlined in policy and procedure manuals, as well as new policies to ensure the Firm has procedures in place
• Supports the preparation for and response to audits, and ensures that any audit findings are appropriately responded to and remediated
• Works with Senior Management to monitor people risk, and ensures appropriate action is taken
• Responsible for proactive client contact in determining appropriateness, suitability and risk management
Qualifications - External Education and/or Experience
• Bachelor’s degree required or equivalent education or experience
• Minimum 2 years Supervisory experience with a IIROC regulated dealer required
• CSC, CPH, 90-day training programme and experience requirements as outlined by IIROC
• Options Supervisory Proficiencies. DFC, OLC, OSC
• Knowledge of IIROC Rules
The working title for the role is Canada Wealth Management Supervisor
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