- The Manager, Supervision is registered with IIROC to supervise the activities of all registrants of the firm with a focus on managed account platforms and internal Portfolio Managers including the supervision of option accounts.
- The Manager, Supervision reports to the Director, Supervision
Responsibilities & Activities:
- Conducting tier 1 and tier 2 supervision activities focused on managed accounts including reviewing and approving daily, monthly and quarterly trade reports, account opening and KYC updates, outside business activities and email and social media monitoring.
- Key member of the Portfolio Management Committee charged with reporting on the status of managed accounts for suitability and performance.
- Supporting Wellington-Altus registrants in resolving compliance issues with regulatory guideline interpretation and with inquiries relating to acceptance of unique or exceptional situations.
- Managing regulatory obligations and commitments, such as 30-day/90-day training programs, new registrant close supervision, overseeing Associate Portfolio Manager direct supervision as well as imposed close supervision (as required).
- Participating in internal compliance reviews or external regulator audits conducted at Head Office or the branches.
- Continually look for ways to improve the firm’s system of compliance and supervision.
- Perform other duties as may be assigned.
Educational & Industry Requirements:
- Bachelor’s degree in business administration, finance, or similar field of study.
- Successful completion of the proficiency requirements for a Supervisor including Canadian Securities Course, Conduct and Practices Handbook, Branch Managers Course, Effective Management Seminar, CFA or CIM, Derivatives Fundamentals, Options Licensing and Options Supervisor Courses.
- Minimum of 6+ years financial services experience, preferably all of which working for a Dealer Member.
Knowledge, Skills, & Abilities:
- In-depth knowledge of the financial services industry, including understanding of regulatory requirements of IIROC and other regulators.
- Strong organizational skills and attention to detail with the ability to prioritize effectively, handle multiple tasks and handle stress in a fast-paced environment.
- Excellent interpersonal and communication skills.
- Proven analytical and problem-solving skills.
- Proficiency in Microsoft Word and Excel.
- Proficiency in Portfolio Aid would be an asset.
Job Type: Full-time
- management: 1 year (Preferred)