Job Description
Salary Range: $85,000 - $95,000
Canaccord Genuity (CG) is a leading independent full‑service financial services firm with operations in two principal segments: wealth management and capital markets. CG is committed to building lasting client relationships by delivering comprehensive wealth‑management solutions and investment banking services.
Responsibilities
- Act as first point of escalation for compliance issues and report to Branch Manager when applicable.
- Handle client calls (corporate and wealth‑management) and perform required administrative duties.
- Conduct daily and monthly compliance reviews: trade reports, Protegent alerts, PRO accounts, fee‑based accounts, restricted accounts, high‑risk accounts, concentration reviews and pending documentation reviews.
- Review and approve new accounts and KYC updates to ensure documentation accuracy and suitability.
- Approve all option accounts, marketing materials submitted b...