Manager, Supervision

Wellington-Altus Private Wealth - Vancouver, BC (30+ days ago)

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  • 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

Experience:

  • management: 1 year (Preferred)