Compliance/TierSupervision-(Regional Branch Manager- WFG Jobs in Toronto, Canada at Transamerica
Position: Compliance/Tier1 Supervision-(Regional Branch Manager)- WFG
Job Description
Responsibilities
Pre-trade Know Your Client (KYC) review.
Interact with clients (in a licensed capacity) to facilitate transactions when Approved Person (AP) is unavailable or it is not feasible for the client to work with the AP.
Tier-1 Trade Reviews – Post-trade reviews of transactions.
Provide support and act as an information resource for APs.
Learn and understand WFGS policies and procedures.
Provide support to APs and direct other resources as appropriate.
Review and report as required by any AP who may be subject to supervisory requirements, including initial Outside Business Activities (OBA) in keeping with WFG Securities, Inc. policies and procedures.
Visit branch locations responsible for supervising as required.
Qualifications
Two years of compliance experience with a CIRO (Formally known as 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
Preferred Qualifications
College diploma and/or university degree
Working Conditions
This is a hybrid position in Toronto, ON.
Relocation assistance will not be provided for this position
Occasional Travel
Title: Compliance/TierSupervision-(Regional Branch Manager- WFG
Company: Transamerica
Location: Toronto, Canada
Category:
