Location: East of GTA
Rate: $50K-$60K/ yr
The Compliance Branch Manager is responsible for providing Daily Tier 2 supervision of advisors registered with MFDA. This position reports directly to the Compliance Manager. The Compliance Branch Manager is responsible for providing both compliance and SRO rule interpretive advice on a routine basis to the advisors and support. This position will be responsible for MFDA supervision.
- Responsible for Tier 2 supervision (May assist with Tier 1 supervision time to time);
- Assist with investigations related to complaints, reports, investigations, regulatory inquiries, etc.;
- Identify and escalate any areas of non-compliance;
- Assist in identifying gaps in the existing compliance program and participates in developing, maintaining, and implementing changes to the firm’s compliance policies and procedures;
- Build on the strength of the compliance team by actively participating in team meetings, contributing toward team goals and participating on projects;
- Review and approve requests for any ad-hoc customized Client Reports as well as output for accuracy (i.e. performance reports, tax reports);
- Review of marketing materials;
- Special projects as per CCO.
- Professional background in the financial services industry preferably with an MFDA dealer (minimum of 3-5 years in a compliance or branch admin supervisory role);
- Good understanding the general characteristics, attributes and risk factors associated with various investment strategies for the purpose of assessing matters such as suitability and legitimacy of investment activities;
- Good knowledge of Microsoft applications (including Word, Excel and Power Point) and familiarity with the internet and related applications as tools for conducting compliance related research;
- Completion of the Canadian Securities Course (CSC) or Investment Funds in Canada (IFC) Courses;
- Completion of or working towards obtaining Branch Compliance Officers Course (BCO) OR Branch Manager’s Course (BMC);
- Organize and prioritize task to be able to work in a fast environment;
- Strong communication, interpersonal, negotiations and influence skills.
To apply for this position, please use the form on our application page.