Compliance/Tier1 Supervision-(Regional Branch Manager)- WFG Canada
$70,000–$80,000 year
Hybrid · Toronto, Ontario, Canada
Toronto, Ontario, CanadaHybridFull Time$70,000–$80,000 yearSenior LevelNot SpecifiedEnterprise
Type
Full Time
Level
Senior Level
Education
Not Specified
Company size
Enterprise
Job Summary
Senior supervisory role overseeing Approved Persons selling mutual funds and life insurance, including pre-trade KYC reviews, post-trade tier-1 reviews, and providing support to APs. Hybrid Toronto-based role requiring understanding of WFG Securities policies, regulatory requirements, and supervision of branch activities, with travel to branch locations as needed and a focus on ensuring compliance with CIRO/ MFDA/ IIROC standards.
Required Qualifications
- Two years of compliance experience with a CIRO (Formerly MFDA/IIROC) registered dealer or related experience in the financial services industry
- Experience conducting non-financial audits for firms registered in the securities industry
- Knowledge of relevant industry practices, techniques and standards, concepts and principles
- Completion of the Investment Funds in Canada or the Canadian Securities Course (or obtain within 30 days of hire)
- Completion of the Branch Manager’s Course (or obtain within 30 days of hire)
- Completion of Life License Qualification Program (or obtain within 12 months of hire)
- Life Insurance License (or obtain within 12 months of hire)
- Ability to obtain Mutual Fund license as needed
- Ability to prioritize multiple projects in a fast-paced environment
- Organizational skills and attention to detail
- Communication and interpersonal skills
- Results driven and customer focused
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