Supervisor, Wealth Management - Blue Chip Recruiting Ltd.
Calgary
About the Job
Our client, a high profile global Wealth Manager is expanding their team. The Supervisor, Wealth Management is responsible for a wide variety of supervisory, compliance, and risk functions. As a fully licensed Compliance Officer/Branch Manager, you will be accountable for maintaining a controlled environment through the adherence to the Firm's business ethics and practices, in addition to all Canadian regulatory requirements and the Firm's internal policies and procedures. This role will report to the COO of the Canadian wealth business.
DUTIES and RESPONSIBILITIES:
Surveillance and Supervision
• Responsible for the supervision of retail investment account activity, including options, conducted in order execution only and full service accounts .Facilitates any supervisory inquiry or process that requires escalation.
• Focuses on business ethics, regulatory and compliance practices
• Provides coaching and guidance to Financial Advisors on policies and procedures in order to promote risk awareness and a compliant environment
• Ensure proper procedures are in place to ensure that approvals are handled appropriately and timely
Risk Management/Compliance/Legal
• Monitors and implements procedures to manage all facets of risk
• Facilitates regular and consistent communication of Firm policies and other regulations
• Together with Senior Management, ensures appropriate supervisory coverage is maintained at all times
• Oversees responsibilities outlined in policy and procedure manuals, as well as new policies to ensure the Firm has procedures in place
• Supports the preparation for and response to audits, and ensures that any audit findings are appropriately responded to and remediated
• Works with Senior Management to monitor people risk, and ensures appropriate action is taken
• Responsible for proactive client contact in determining appropriateness, suitability and risk management
Qualifications - External Education and/or Experience
• Bachelor’s degree required or equivalent education or experience
• Minimum 2 years Supervisory experience with a IIROC regulated dealer required
• CSC, CPH, 90-day training programme and experience requirements as outlined by IIROC
• Options Supervisory Proficiencies. DFC, OLC, OSC
• Knowledge of IIROC Rules
The working title for the role is Canada Wealth Management Supervisor
DUTIES and RESPONSIBILITIES:
Surveillance and Supervision
• Responsible for the supervision of retail investment account activity, including options, conducted in order execution only and full service accounts .Facilitates any supervisory inquiry or process that requires escalation.
• Focuses on business ethics, regulatory and compliance practices
• Provides coaching and guidance to Financial Advisors on policies and procedures in order to promote risk awareness and a compliant environment
• Ensure proper procedures are in place to ensure that approvals are handled appropriately and timely
Risk Management/Compliance/Legal
• Monitors and implements procedures to manage all facets of risk
• Facilitates regular and consistent communication of Firm policies and other regulations
• Together with Senior Management, ensures appropriate supervisory coverage is maintained at all times
• Oversees responsibilities outlined in policy and procedure manuals, as well as new policies to ensure the Firm has procedures in place
• Supports the preparation for and response to audits, and ensures that any audit findings are appropriately responded to and remediated
• Works with Senior Management to monitor people risk, and ensures appropriate action is taken
• Responsible for proactive client contact in determining appropriateness, suitability and risk management
Qualifications - External Education and/or Experience
• Bachelor’s degree required or equivalent education or experience
• Minimum 2 years Supervisory experience with a IIROC regulated dealer required
• CSC, CPH, 90-day training programme and experience requirements as outlined by IIROC
• Options Supervisory Proficiencies. DFC, OLC, OSC
• Knowledge of IIROC Rules
The working title for the role is Canada Wealth Management Supervisor
Source : Blue Chip Recruiting Ltd.
