Job Description
Elevate your career as a Regional Branch Manager in Toronto. Supervise compliance and operations in a hybrid role while supporting Approved Persons with mutual funds and insurance products.
This position focuses on branch supervisory tasks for WFG Securities. As the Regional Branch Manager, you will ensure regulatory compliance and support Approved Persons (APs) in client transactions when necessary. Gain knowledge of policies, perform KYC reviews, and assist with trade oversight to enhance branch operations.
Key Responsibilities:
• Conduct pre-trade Know Your Client (KYC) reviews
• Interact with clients in licensed capacity as needed
• Perform post-trade reviews of transactions
• Act as resource and support for Approved Persons
• Review supervisory requirements for compliance
Requirements:
• Two years of compliance experience in financial services
• Knowledge of securities industry practices and standards...
This position focuses on branch supervisory tasks for WFG Securities. As the Regional Branch Manager, you will ensure regulatory compliance and support Approved Persons (APs) in client transactions when necessary. Gain knowledge of policies, perform KYC reviews, and assist with trade oversight to enhance branch operations.
Key Responsibilities:
• Conduct pre-trade Know Your Client (KYC) reviews
• Interact with clients in licensed capacity as needed
• Perform post-trade reviews of transactions
• Act as resource and support for Approved Persons
• Review supervisory requirements for compliance
Requirements:
• Two years of compliance experience in financial services
• Knowledge of securities industry practices and standards...