Manage retail accounts with a focus on compliance as an Account Supervisor. Ensure adherence to supervisory practices while supporting Financial Advisors in a dynamic environment.
This position involves overseeing first-tier supervision and compliance for retail accounts. You will work closely with all functional groups to maintain a controlled environment and facilitate necessary inquiries. Strong analytical skills and communication proficiency are essential for this role.
Key Responsibilities:
• Supervise and manage compliance for retail accounts
• Oversee procedures for risk management
• Coordinate communications regarding policies
• Provide support and training to Financial Advisors
• Ensure readiness for audits and address findings
Requirements:
• Bachelor’s degree or equivalent experience
• Supervisory experience of minimum 2 years
• CIRO related licenses including CSC and CPH
• Solid knowledge of CIRO rules
• Strong critical thinking and or...