Job Description
Lead operational excellence as the Director of Operations at Mandeville. This role focuses on managing complex broker models, regulatory compliance, and enhancing back-office functions.
In this senior role, you'll oversee a Type 2 and Type 3 Introducing Broker model, ensuring compliance with CIRO regulations. Your expertise will guide the operational framework while supporting Investment Advisors in client account transitions. Building strong relationships with service providers is vital as you maintain seamless operational integrity and oversee staff training programs across the firm.
Key Responsibilities:
• Maintain operational framework with Fidelity Clearing Canada
• Oversee back-office operations for accuracy and compliance
• Supervise operations staff and Investment Advisors
• Develop comprehensive compliance policies and training programs
• Lead in-flight initiatives and ensure project governance
Requirements:
• Bachelor’s Degree or College Diploma req...
In this senior role, you'll oversee a Type 2 and Type 3 Introducing Broker model, ensuring compliance with CIRO regulations. Your expertise will guide the operational framework while supporting Investment Advisors in client account transitions. Building strong relationships with service providers is vital as you maintain seamless operational integrity and oversee staff training programs across the firm.
Key Responsibilities:
• Maintain operational framework with Fidelity Clearing Canada
• Oversee back-office operations for accuracy and compliance
• Supervise operations staff and Investment Advisors
• Develop comprehensive compliance policies and training programs
• Lead in-flight initiatives and ensure project governance
Requirements:
• Bachelor’s Degree or College Diploma req...