Job Description
Position Overview
Regional Supervisor – Wealth Management, Toronto.
Salary Range
$85,000 - $95,000 per year.
Responsibilities
- Act as the first point of escalation for Compliance issues and communicate with the Branch Manager when necessary.
- Handle client calls (corporate and Wealth Management) as they arise.
- Perform additional administrative duties as required.
- Conduct daily and monthly Compliance reviews:
- Daily trade reports
- Protegent alerts
- Monthly PRO accounts
- Fee‑based accounts
- Restricted accounts
- High‑risk accounts
- Concentration reviews
- Pending documentation reviews
- Review and approve:
- New accounts and KYC updates to ensure documentation and suitability requirements are met.
- All Option accounts.
- Marketing materials submitted by IA teams.
- Trade cor...