Lead compliance efforts at WFG Securities in Toronto, ON, as a Regional Branch Manager. Oversee operations and support your team in mutual fund and life insurance sales.
In this hybrid role, you'll supervise branch operations, ensuring all Approved Persons meet company and regulatory obligations. You will conduct compliance-focused reviews, facilitate client support during team absence, and enhance team engagement through regular branch visits. Your solid compliance and organizational skills will drive performance across the team.
Key Responsibilities:
• Conduct compliance-focused Pre-trade KYC reviews
• Support clients when Approved Persons are unavailable
• Execute post-trade reviews of transactions
• Serve as an information resource for your team
• Ensure adherence to company policies in supervision
Requirements:
• Two years of experience in compliance with a registered dealer
• Knowledge of industry practices and client solutions
• Completion of rel...